Minutes of the Board of Regents of Stephen F. Austin State University. 2002, Volume No. 183

925.pdf
[19.80 MB]
Link will provide options to open or save document.

File Format:

Adobe Reader

Stephen F. Austin
State University
Minutes of the
Board of Regents
Nacogdoches, Texas
July 25, 2002
Volume 183
TABLE OF CONTENTS
July 25, 2002
Page
02-25 Approval of April 30, 2002 Minutes 1
02-26 Consent Agenda Items:
Faculty and Staff Appointments for 2002-2003 1
Changes of Status 3
Retirements 6
Holiday Schedule for 2002-2003 6
Selection of EFL Associates as Search Firm for Vice President for
Academic Affairs and Dean for College of Education 6
02-27 Consent Agenda Items
Underenrolled Classes...: 7
Last Class Day Report 7
Revised Requirements for Academic Excellence Scholarship Program 7
Intercollegiate Athletic Policy and Procedure Manual 8
Approval to Forward Master of Arts in Music Education to
Coordinating Board 8
Approval to forward Master of Arts in Accompanying to
Coordinating Board 8
Honorary Degree for Bo Pilgrim 8
02-28 Consent Agenda Items
Adoption of Fiscal Year 2003 Budget 8
Authority to Allocate Salary Equity Money for Faculty and Staff. 8
Resolution Authorizing a Request for Financing for Pressbox
Renovations and Accessibility Modifications 8
Marketing Contract Renewal with Kolar Advertising 8
Certificates of Resolution Authorizing Deposit Accounts and
Related Services : 9
Roofing Projects for Coliseum and Kennedy Auditorium 9
Telecommunications Switch Purchase 9
East College Cafeteria Dishwashing Machine 9
02-29 University Center Renovation/Expansion Feasibility Study 9
02-30 Policy Revisions 9
Reports 10
A. Faculty Senate
1. Introduction of 2002-2003 Senate officers
2. Summary of 2001-2002 Senate activities
a. Policies reviewed and recommended by the Senate
b. Resolutions and reports
3. Intellectual property rights policy
4. Salary equity
5. Shared governance
6. Priorities for 2002-2003 Senate
B. Student Government Association
1. Purple Haze
a. Orientation
b. The Craze
2. Voter Registration
3. Support of Student Center Renovation
C. Director of Information Technology Services and Director of Audit Services
1. Information Technology Security
D. Kolar Advertising - Marketing Report
E. President
1. Legislative Agenda
2. Future Commencement Speakers
3. Update on Broiler Houses (Major Event in October)
4. Commencement, August 10, 2002
5. Meet the Lumberjacks, August 20, 2002
6. State-of-the-University Address, August 22, 2002
7. Campus Picnic to Kick off the Academic Year, August 23, 2002
8. First Football Game Against Portland State University, August 31, 2002
9. Inauguration of Dr. Nancy Dickey, September 12, 2002
10. Parents Day, September 14, 2002
11. Homecoming, October 18 & 19, 2002
12. Answer Questions from Members of the Board of Regents
Appendix No. 1 - Master of Arts in Music Education 11
Appendix No. 2 - Master of Music in Accompanying 20
Appendix No. 3 - HEAF Allocation 2002-03 26
Appendix No. 4 - Resolution Authorizing a Request for Financing 27
Appendix No. 5 - Budget Changes 29
Appendix No. 6 - Policy Revisions 30
NEW Acceptable Use of Information Resources PI
A-6 Educator Preparation P5
A-24 Laboratory Fees P6
A-52 Awarding Academic Credit for Noncollegiate Sponsored
Instruction P7
A-60 File Maintenance for Faculty Personnel Files Pll
C-16.5 Historically Underutilized Businesses P13
C-28 Interagency and Interlocal Contracts P17
C-41 Investments P19
C-49 Travel P30
D-24 Parking Rules and Regulations P40
D-27 Radioactive or Radiation Producing Materials or
Equipment P57
D-34.1 Conduct Code P60
D-42 Digital Millennium Policy P65
D-44 Student Media P69
E-18 Employee Terminations and Transfers P72
F-14 Student Organization Formation and Recognition P73
MINUTES OF THE MEETING
BOARD OF REGENTS
STEPHEN F. AUSTIN STATE UNIVERSITY
NACOGDOCHES, TEXAS
JULY 25, 2002
The meeting was called to order at 9:00 a.m. by Chair Mike Enoch. Board members
present in Room 307: Penny Butler, Margarita de la Garza Grahm, Kenneth James, Mike
Enoch, Susan Roberds, Lyn Stevens, Mike Wilhite and Fred Wulf. Absent: Gary Lopez.
Others present in Board Room 307: Tito Guerrero, Jerry Holbert, Miles McCall, Baker
Pattillo, Roland Smith, Marlin Young, Yvette Clark, and other SFA administrators, staff,
and visitors.
Executive Session was announced at 9:10; returned to Open Session at 10:37.
02-25
Upon motion of Regent Roberds, seconded by Regent Butler, with all members voting
aye, it was ordered that the minutes of the April 30, 2002 meeting be approved.
02-26
Upon motion of Regent Wilhite, seconded by Regent Butler, with all members voting aye,
it was ordered that the following consent items be approved:
■ Faculty and Staff Appointments for 2002-2003
1. President
Dr. Tito Guerrero's contract was extended for 1 year, at a salary of $187,090. A
deferred compensation plan of $10,590 is to be established, with the distribution
date to be July 1, 2005 only if he remains employed as president for that
designated period. (IRS code Section 457F of the IRS code of 1986 as amended,
and as permitted under article 6228a-5 section 3 of Vernon's Texas Civil Statutes
with requisite review by the ERS.)
2. Academic Advising
Ms. Rose Marie Alexander, Academic Advisor, B.A. (Stephen F. Austin) at a
salary of $25,000 for 100% time for 12 months, effective April 22, 2002.
Ms. Vickie Poe, Academic Advisor, B.A. (Southwest Texas State University) at a
salary of $25,000 for 100% time for 12 months, effective April 22, 2002.
3. Admissions
Ms. Ashley Bravenec, Admissions Counselor, B.A. (Stephen F. Austin) at a
salary of $23,200 for 100% time for 12 months, effective June 17, 2002.
4. Agriculture
Mr. Edgar Oviedo-Rondon, Assistant Professor, M.S. (State University of
Maringa-Brazil), at a salary of $41,000 for 100% time for nine months, effective
September 1, 2002.
5. Biology
Dr. James K. Langford, Assistant Professor, Ph.D. (Medical College of
Wisconsin), at a salary of $38,000 for 100% time for nine months, effective
September 1, 2002.
6. Communication
Mr. Robert T. Spradley, Lecturer, M.A. (Stephen F. Austin), at a salary of
$3,666 for 100% time for SSII-2002, effective July 16, 2002.
7. Criminal Justice
Dr. Jeffrey S. Magers, Assistant Professor, Ed.D. (Spalding University), at a
salary of $43,000 for 100% time for nine months, effective September 1, 2002.
8. English
Dr. Barbara Nykiel-Herbert, Visiting Assistant Professor, (Adam Mickiewicz
University — Poland), at a salary of $34,000 for 100% time for nine months,
effective September 1, 2002.
9. Forestry
Mr. Terry A. Corbett, Research Technician, B.S. (Stephen F. Austin State
University), at a salary of $30,000 for 100% time for nine months, effective
September 1, 2002.
10. History
Mr. Andrew J. Morris, Assistant Professor, M.A. (University of Virginia), at a
salary of $36,000 for 100% time for nine months, effective September 1, 2002.
11. Management, Marketing, International Business
Dr. Philip E. Stetz, Assistant Professor, Ph.D. (Texas Tech University), at a
salary of $63,000 for 100% time for nine months, effective September 1, 2002.
12. Mathematics and Statistics
Ms. Jacqueline R. Goforth, Assistant Professor, B.A. (Trinity University), at a
salary of $42,000 for 100% time for nine months, effective September 1, 2002.
13. Modern Languages
Dr. Joyce Johnston, Assistant Professor, Ph.D. (Indiana University-
Bloomington), at a salary of $36,000 for 100% time for nine months, effective
September 1,2002.
14. Music
Dr. John T. Gates, Assistant Professor, D.M. (Florida State University), at a
salary of $39,000 for 100% time for nine months, effective September 1, 2002.
15. Nursing
Ms. Janice S. Hensarling, Clinical Instructor, M.S.N. (University of Texas
Medical Branch at Galveston), at a salary of $40,000 for 100% time for nine
months, effective September 1, 2002.
16. Political Science and Geography
Dr. James D. Lowry, Assistant Professor, Ph.D. (University of Arizona), at a
salary of $36,000 for 100% time for nine months, effective September 1, 2002.
17. Psychology
Mr. Bryan K. Saville, Assistant Professor, M.S. (St. Cloud State University), at a
salary of $36,000 for 100% time for nine months, effective September 1, 2002.
Ms. Tracy E. Zinn, Assistant Professor, M.S. (Auburn University), at a salary of
$36,000 for 100% time for nine months, effective September 1, 2002.
18. Controller's Office
Ms. Rose D. Brown, Manager, at a salary of $36,400 for 100% time for 12
months, effective May 20, 2002.
19. Information Technology Systems
Mr. Kyle Kettler, Programmer/Analyst I, at a salary of $27,000 for 100% time for
twelve months, effective May 20, 2002.
■ Changes of Status
1. Academic Affairs
Dr. Marlin C. Young, from Professor and Dean of the College of Business at a
salary of $110,454 for 100% time for twelve months, to Professor and Interim
Vice President for Academic Affairs at a salary of $116,000 for 100% time for
twelve months, effective June 1, 2002.
2. Accounting
Dr. Jack R. Ethridge, from Department Chair and Professor at a salary of $90,409
for 100% time for eleven months, to Professor at salary of $76,190 for 100% time
for nine months, effective September 1, 2002.
Dr. Treba A. Marsh, from Associate Professor at a salary of $65,791 for 100%
time for nine months, to Interim Department Chair at a salary of $83,411 for
100% time for eleven months, effective September 1, 2002.
3. Admissions
Mr. Gabe Aguirre, Admissions Counselor at a salary of $23,200 for 100% time
for twelve months, to Admissions Regional Recruiter at a salary of $26,744 for
100% time for twelve months.
4. Art
Dr. David A. Lewis, Associate Professor at a salary of $47,526 for 100% time for
nine months, to Associate Professor and Interim Department Chair at a salary of
$69,000 for 100% time for twelve months effective July 15, 2002.
5. Dean of Business
Dr. Violet A. Rogers, Professor and Associate Dean at a salary of $93,769 for
100% time for eleven months, to Professor and Interim Dean at a salary of
$107,296 for 100% time for twelve months effective September 1, 2002.
6. Dean of Education
Dr. Patsy Hallman, from VME status at a salary of $35,736 for 46.75% time for
three years effective September 1, 2002, to Professor and Dean at a salary of
$101,920 for 100% time for twelve months effective September 1, 2002.
Dr. Melanie B. Jephson, Associate Professor and Interim Associate Dean at a
salary of $70,388 for 100% time for twelve months, to Associate Professor and
Associate Dean at a salary of $90,000 for 100% time for twelve months effective
September 1,2002.
7. Elementary Education
Ms. Lysa Gaston, from Instructor at a salary of $41,000 for 100% time for 9
months, to NISD Charter School Director and Instructor at a salary of $49,972 for
100% time for 12 months, effective September 1, 2002.
8. English
Dr. Barbara Carr, from Professor and Associate Chair at a salary of $63,265 for
100% time for twelve months, to Professor and Interim Chair at a salary of
$78,918 for 100% time for eleven months effective September 1, 2002.
Dr. Molly E. Smith, from Chair and Professor at a salary of $76,920 for 100%
time for eleven months, to Professor at a salary of $55,646 for 100% time for nine
months, effective September 1, 2002
Mr. David Whitescarver, from VME status at a salary of $20,433 for 46.75% time
for three years effective September 1, 2002, to Assistant Professor at a salary of
$43,706 for 100% time for nine months effective September 1, 2002.
9. Management/Marketing/International Business
Mr. Robert M. Crocker, from Visiting Assistant Professor at a salary of $50,000
for 100% time for nine months, to Assistant Professor at a salary of $57,000 for
100% time for nine months, effective September 1, 2002.
10. Modern Languages
Mr. Alejandro Sanchez-Aizcorbe, from Visiting Instructor at a salary of $31,750
for 100% time for nine months, to Instructor at a salary of $32,500 for 100% time
for nine months.
Ms. Flora Valencia, from Visiting Instructor at a salary of $31,750 for 100% time
for nine months, to Instructor at a salary of $32,500 for 100% time for nine
months.
11. Social Work
Ms. Becky Price-Mayo, from Senior Information Specialist at a salary of $16,380
for 50% time for five months, to Senior Information Specialist at a salary of
$32,760 for 100% time for twelve months, effective June 1, 2002.
12. Athletics
Ms. Brandi Daily, from Restricted Women's Basketball Coach, at a salary of
$8,000 for 50% time for nine months, to Assistant Women's Basketball Coach and
Instructor, at a salary of $43,000 for 100% time for 10.5 months, effective July
15,2002.
Mr. Alexander Gibby, from Restricted Track and Field Coach and Coordinator, at
a salary of $20,450 for 100% time for nine months, to Assistant Track and Field
Coach, at a salary of $21,000 for 100% time for 10.5 months, effective September
1,2002.
Ms. Loree McCary, from Assistant Athletic Trainer, at a salary of $38,331 for
100% time for 10.5 months, to Assistant Athletic Trainer, at a salary of $43,807
for 100% time for twelve months, effective September 1, 2002.
13. Disability Services
Ms. Tiffany Rivers, from Administrative Assistant, at a salary of $20,240 for
100% time for twelve months, to Coordinator of Disability Services, at a salary of
$34,000 for 100% time for twelve months, effective April 15, 2002.
14. Student Affairs
Mr. Charles Hueber, from Graduate Student, at a salary of $720 per month for
50% time, to Program Coordinator, at a salary of $26,000 for 100% time for
twelve months, effective July 15, 2002.
15. Chemistry
Dr. Wayne Boring, from Professor and Chair at a salary of $80,510 for 100% time
for eleven months, to Professor and Hazardous Materials Officer at a salary of
$67,851 for 100% time for nine months effective September 1, 2002.
Dr. John T. Moore, from Professor at a salary of $49,000 for 100% time for nine
months, to Professor and Interim Chair at a salary of $64,889 for 100% time for
eleven months effective September 1, 2002.
16. University Advancement
Mr. Adrian C. Matthys, from Telemarketing Program Supervisor at a salary of
$26,200 for 100 time for twelve months, to Assistant Director of Development at
a salary of $27,200 for 100% time twelve months, effective June 3, 2002.
■ Retirements
1. Academic Affairs
Dr. Janelle C. Ashley, Vice President for Academic Affairs, effective May 31,
2002.
2. Biology
Dr. Byron VanDover, Associate Professor, effective December 31, 2002.
3. Kinesiology
Dr. Carolyn Mitchell, Professor, effective August 31, 2002.
4. Registrar
Mr. Dennis Jones, Registrar, effective August 31, 2002.
5. Secondary Education
Dr. Buster Duke Brannen, Professor, effective April 1, 2002.
■ Holiday Schedule for 2002-2003
Fifteen holidays are allowed by the State for 2002-2003. The following schedule
will allow SFA to be closed for Labor Day, 2 days at Thanksgiving, 5 working
days at Christmas, New Year's Day, 5 working days at Spring Break, Memorial
Day and July 4th, which totals sixteen days. Employees are be required to take
one day of vacation or compensatory time on Friday, March 14.
2002-2003 Holidays
■ Selection of Search Firm
Following President Guerrero's recommendation, EFL Associates was approved to
conduct searches for the Vice President for Academic Affairs and the Dean of the College
of Education, at a cost not to exceed $65,000 plus expenses. Dr. Guerrero was authorized
to sign the contract.
02-27
Upon motion of Regent Wilhite, seconded by Regent Wulf, with all members voting aye,
it was ordered that the following consent items be approved:
m Underenrolled Classes
The Summer I 2002 Underenrolled Class List was approved and the Chair of the
Board was authorized to sign the official report for Summer II2002 when the data
is available.
1. AGR 480.013 — Topics in Agriculture
Enrolled: 4
Taught as overload course
2. HRT 326.001 — Design Application Software II
Enrolled: 9
Maintain sequence; senior enrolled
3. HRT 326L.020 — Design Application Software II Lab
Enrolled: 9
Maintain sequence; senior enrolled
4. ENG 099.001 — Developmental English
Enrolled: 9
Mandatory course for students failing TASP
5. GOL 364.001 — Field Geology
Enrolled: 6
Graduating senior enrolled in this course
6. NUR 303.001 — Nursing Theory, Process and Skills
Enrolled: 6
Maintain proper sequence
7. NUR 303.010 — Nursing Theory, Process and Skills Lab
Enrolled: 6
Maintain proper sequence
■ Last Class Day Report
Last Class Day Report for Spring semester, 2002 was approved as presented.
■ Revised Requirements for Academic Excellence Scholarship Program
1. Eligible students are those who rank in the top 10% of their graduating class or
rank in the top quartile of their graduating class and earned a minimum score of
1100 on the SAT or 24 on the ACT.
2. The scholarship was increased to $2,000 per academic year.
3. Scholarship is renewable for a four-year period, provided the student
completes 24 semester hours per academic year with an earned gpa of 3.25 or
higher.
7
■ Intercollegiate Athletic Policy and Procedure Manual
. Revisions to the Athletic Policy and Procedure Manual were approved as
presented.
■ Approval to forward Master of Arts in Music Education to Coordinating
Board
Approval was given to forward the proposal for a Master of Arts in Music
Education to the Texas Higher Education Coordinating Board.
■ Approval to forward Master of Music in Accompanying to Coordinating
Board
Approval was given to forward the proposal for a Master of Music in
Accompanying to the Texas Higher Education Coordinating Board.
■ Consideration of Honorary Degree
Approval was given to present an Honorary Doctorate in Philosophy to Mr.
Lonnie "Bo" Pilgrim during the August 10 commencement.
02-28
Upon motion of Regent de la Garza-Grahm, seconded by Regent Stevens, with all
members voting aye, it was ordered that the following consent items be approved:
■ Adoption of the Fiscal Year 2003 Budget
The 2002-2003 fiscal year operating budget totaling $148,688,481 was approved.
The budget includes a $3 per semester credit hour increase in Designated Tuition
and a 1% increase in room and board. It also includes a 3% merit pool for faculty
and the greater of a $65 per month or 3% increase for non faculty employees. The
budget also includes insurance renewal and D&O coverage to be purchased
through the State Office of Risk Management. The detailed HEAF allocation is
included in Appendix No. 3.
■ Authority to Allocate Salary Equity Money for Faculty and Staff
The President was authorized to allocate $650,000 that is set aside in the fiscal
year 2003 budget, for salary equity adjustments for faculty, non classified and
classified staff.
■ Resolution Authorizing a Request for Financing for Pressbox
Renovations and Accessibility Modifications
The Resolution Authorizing a Request for Financing (Appendix No. 4) was
approved, and the President and staff were authorized to proceed with the
financing transaction as directed by the Texas Public Finance Authority.
■ Marketing Contract Renewal
The President was authorized to renew and sign the Kolar Advertising contract at
a cost not to exceed $400,000 at his discretion.
8
■ Certificates of Resolution Authorizing Deposit Accounts and Related
Services
The Board of Regents adopted resolutions from Regions Bank related to the
Stephen F. Austin Operating Fund and the Stephen F. Austin State University
Special Investment Account; from First Bank & Trust East Texas for the Stephen
F. Austin State University Account; and from BancorpSouth for the Stephen F.
Austin State University Account and authorized signatures of Mr. Michael W.
Enoch, Chairman, Board of Regents of Stephen F. Austin State University, and
Mrs. Penny Butler, Secretary, Board of Regents of Stephen F. Austin State
University, as required on the accompanying resolutions.
■ Roofing Projects
The University was authorized to contract with PRC Roofing to coat the roofs of
the William R. Johnson Coliseum and Kennedy Auditorium and the President was
authorized to sign the necessary contracts and purchase orders. The cost is not to
exceed $120,000 including a contingency allowance, architect/engineer fees, and
project administration. Cost will be allocated between auxiliary and HEAF funds
based on the square footage of each roof.
■ Telecommunications Switch Purchase
Purchase of the Cisco 6509 telecommunications switch through the State contract
was approved, at a cost not to exceed $129,600, less trade-in. Source of funds is
2002 HEAF.
■ East College Cafeteria Dishwashing Machine
Replacement of the dishwashing machine in East College Cafeteria was approved,
at a cost not to exceed $100,000, and the President was authorized to sign the
necessary purchase orders.
02-29
Upon motion of Regent Wilhite, seconded by Regent Wulf, with all members voting aye,
it was ordered that the University be authorized to conduct a feasibility study of a
renovation/expansion of the University Center, at a cost not to exceed $35,000. The
President shall appoint a feasibility committee to conduct the study with representation
from the students and end users to determine space and programmatic needs in
consultation with the architects. A report of the results will be presented to the Board at
its October 17, 2002 meeting.
02-30
Upon motion of Regent Wulf, seconded by Regent de la Garza-Grahm, with all members
voting aye, it was ordered that the Policy revisions be approved, including modifications
to the Investments Policy which were presented at the meeting.
Vffl. REPORTS
A. Faculty Senate
1. Introduction of 2002-2003 Senate officers
2. Summary of 2001 -2002 Senate activities
a. Policies reviewed and recommended by the Senate
b. Resolutions and reports
3. Intellectual property rights policy
4. Salary equity
5. Shared governance
6. Priorities for 2002-2003 Senate
B. Student Government Association
1. Purple Haze
a. Orientation
b. The Craze
2. Voter Registration
3. Support of Student Center Renovation
C. Director of Information Technology Services and Director of Audit Services
1. Information Technology Security
D. Kolar Advertising
1. Update on marketing program
E. President
1. Legislative Agenda
2. Future Commencement Speakers
3. Update on Broiler Houses (Major Event in October)
4. Commencement, August 10, 2002
5. Meet the Lumberjacks, August 20, 2002
6. State-of-the-University Address, August 22, 2002
7. Campus Picnic to Kick off the Academic Year, August 23, 2002
8. First Football Game Against Portland State University, August 31, 2002
9. Inauguration of Dr. Nancy Dickey, September 12, 2002
10. Parents Day, September 14, 2002
11. Homecoming, October 18 & 19, 2002
12. Answer Questions from Members of the Board of Regents
Meeting adjourned at 2:20 p.m.
10
Appendix No. 1
Nonsubstantive Degree Program Proposal
NAME OF INSTITUTION Stephen F. Austin State University
NAME OF PROPOSED PROGRAM Master of Arts in Music Education. Elementarv/General
Music Track
Display how proposed program would appear on the Coordinating Board program
inventory; include the Texas CIP code designation.
Music-Music Education (MA)
13.1312.10.03
How would name of program appear on student diplomas?
Master of Arts in Music Education
How would name of program appear on student transcripts?
Master of Arts in Music Education
Administrative unit(s) responsible for the program:
Graduate School: College of Fine Arts: Department of Music
Proposed date for implementation of program: Fall, 2002
Person to be contacted for further information about proposed program:
Name: Dr. Ronald E. Anderson Title: Chair, Department of Music
Phone: (936) 468-4602 Fax: (936) 468-5810
Signatures:
Campus Chief Executive Officer Date
System Chief Executive Officer Date
Governing Board approval date:
11
I. Reason for the Request
A. Provide rationale for the request.
The Master of Arts in Music Education program currently has two tracks: an
instrumental track and a choral track. At this time there is no specific program track
for those interested in elementary/general music education. The department's goal is
to meet the educational needs of practicing music specialists in the elementary schools
and those interested in general music pedagogy. Our current programs do not offer
the depth or breadth of study needed to address the specific pedagogical needs of
elementary/general music specialists.
Additionally, this program was developed to address a specific concern cited in the
department's NASM review. The review team specifically encouraged the department
to broaden its graduate programs to find ways in which to increase enrollment. This
program addresses that concern. Because there are many more elementary/general
music specialists than choral and/or instrumental music specialists, we are confident
that enrollment in this new graduate program will increase once this program track is
approved.
B. Include any historical or other documentation to support request.
Many universities offer an elementary/general music specialist track in their graduate
programs. Simply adding the suggested track may not increase graduate enrollment.
From the beginning discussions about this new program track, however, the
department has planned to develop and offer many of the courses via distance learning.
Distance learning courses and programs are more common in other disciplines. To
date there are few on-line music education programs in the country and none in the
state of Texas. If approved, SFA will offer the first on-line Master of Arts in Music
Education program in the state.
The department believes this program track will flourish for the following reasons.
First, the majority of East Texans live in rural communities. Relatively remote from
major universities, individuals wishing and/or required to continue their formal
education must travel great distances to achieve this goaL Many individuals forgo
advanced academic training because of the hardship of travel. This is especially true of
graduate students, many of whom are holding down fiill-time jobs. While we are
focusing on professional educators within East Texas, the same travel issue could be
said of those living anywhere outside the I-35/I-45 corridors. Distance learning makes
sense, especially in a state as large as Texas. Without the burden of traveling to and
from a university, students can concentrate on synchronous as well as asynchronous
modes of class interaction.
Second, the state no longer issues "lifetime" certificates. Professional educators must
continue their academic training in order to retain their certification in Texas. Very
12
shortly, all universities will see an increase in graduate enrollment. However, one of
the concerns of practicing professionals is balancing family obligations, work
obligations, and education obligations. Practicing professionals do not have the luxury
of large amounts of time to devote to traditional "face-to-face" masters programs.
While time is available to concentrate on academic obligations, those times may be at
midnight or four in the morning, not the best times to hold a traditional class lecture.
Distance learning is a viable alternative to traditional 'lace-to-face" masters programs.
Third, a distance-learning program will benefit children. The first benefit is from
having a specialist who is continuing to learn and grow as a professional. Students
enrolled in this program will have the opportunity to read, study, and discuss the latest
theory and pedagogy in music education. A second benefit for children is from having
a specialist that uses the latest technology to continue her/his education. Many
educators believe that distance education may well be the preferred method of
instruction in the near future. This new distance-learning program will equip music
specialists with the skills needed to thrive in this new learning environment. These
skills will inevitably be transferred to children as their specialists implement similar
distance learning techniques in their own classrooms. Essentially, children will learn
by example (Le., vicarious learning).
II. Program Description
A. Provide a description of the program
The Master of Arts in Music Education, Music Education Track is specifically
designed for those individuals who wish to continue their study of elementary/general
music methods and theory. Specifically, the program is intended for practicing music
specialists in the public/private schools. The program offers an introduction to
research methods and music psychology as a foundation to further study of best
practices in elementary/general music education and related fields. Throughout the
program students will have opportunities for reflection, discussion, and
implementation of theories into their classrooms.
Course Outline:
1. Music Education Specialization: Semester Hours
a. MUE 540 (Music Research Seminar) 3
b. MUE 541 (Psychology of Music) 3
c. MUE 542 (Foundations in Music Education) 3
d. MUP 543 (Current Trends in Music Education) 3
Total 12
13
2. Music Core:
a. MTC 526 (Stylistic Analysis) 3
b. MHL 531 (Music Bibliography) 3
c. Six hours from: 6_
1) MHL 521 (Music of the Baroque Era)
2) MHL 522 (Music of the Classical Era)
3) MHL 523 (Music of the Romantic Era)
4) MHL 524 (Music of the Twentieth Century)
5) MHL 525 (Music in America)
Total 12
3. Music Electives (6 hours for thesis students; 12 hours for non-thesis
students).
a. MUE 544 (Reflective Practitioner) 3
b. MUP 545 (Music in Early Childhood) 3
c. MUP 546 (Technology in the Music Classroom) 3
d. MUE 547 (Professional/Clinical Project 3
e. Summer Workshop Training 1-3
4. Thesis Courses (thesis students only - 6 hours)
a. MUS 589 (Thesis Research) 3
b. MUS 590 (Thesis Writing) 3
III. Relationship to Existing Authorized Programs
A. Demonstrate the relationship between the proposed program and existing
programs.
This specific track of the Master of Arts in Music Education program is based on the
same core requirements for all other Master programs (12 hours), with one exception.
14
Because this program is designed for individuals who may not be able to travel to
SFASU during the school year, they will be required to complete three (3) music
history courses instead of two (2). For this program students are not required to
participate in applied lessons or ensemble performances.
The other differences are related to the existing music education tracks and the music
specialization core (12 hours). Both the instrumental and choral tracks require
students to complete MUE 540 (Music Research Seminar) and MUE 541 (Psychology
of Music); these are required of the new program track- also. In addition, the new
track requires MUE 542 (Foundations in Music Education) and MUE 543 (Current
Trends in Music Education).
Because of the anticipated enrollment for this program, the department will offer four
courses that can be used in the music electives block of courses (12 hours). Students
may also wish to take summer study at another university and transfer 6 hours into the
program- As with all other degrees, a thesis can be written in lieu of six (6) hours of
academic course study.
B. Describe how the proposed program would affect existing programs, including
the potential effects on enrollment (needfor additional faculty, resources, etc.)
The proposed program interfaces well with the existing Master of Arts degree tracks
in the vocal and instrumental areas. The new track, however, is designed to fulfill the
needs of two entirely different groups: elementary music and general music
specialists. Many of the courses including the core subjects can easily absorb the
addition of several more students.
At this time, we do not anticipate the need for additional faculty. Some reassignment
will be made with existing staff to cover undergraduate courses currently being
covered by the coordinator of the new program- If the program is successful in
addressing needs within the state and meets the department's expectations, staflBng will
need to be reassessed in the future.
IV. Expected Enrollment
A. Estimate the cumulative headcount and full time equivalent (FTE) enrollment
for each of the first five (5) years (majors only, considering expected attrition
and graduation) and indicate the number of expected to be new to the
institution each year.
Year One: FTE: 3 students; new students: 2
Year Two: FTE: 5 students, new students 3
Year Three: FTE 8 students, new 6
Year Four: FTE 9 students, new 4
Year Five: FTE 11 students, new 8
15
A. Explain assumptions used in making these estimates.
Potentially, this program will draw students from across the state, not necessarily East
Texas. The department is confident that anyone who lives in a rural area and wishes
to continue her/his professional music education will directly benefit from this
program. This same argument could be said of anyone in the nation. The potential for
success is great. With proper marketing, this particular track should flourish.
V. Resources
A. Provide descriptions of courses that have been implemented and new courses
needed.
The Department plans to offer at least 75% of the credit hours needed to complete the
proposed program track via distance learning (i.e., Internet). Currently the
department offers nine (9) hours of the program track through distance learning. By
the Spring of 2003 an additional eighteen (18) hours will be developed and available
on-line. It is our hope that shortly thereafter, all 36 hours will be available on-line.
1. List and describe courses implemented within the last three (3)
years that would be included in the new program curriculum.
a. MUE 540 (Music Research Seminar)
Music Research Seminar is an introduction to research
in music education. Emphasis is placed on analysis of
empirical research modalities and procedures for
testing and measuring musical behaviors. The thrust
of the course is to understand statistical results and
their implications for improving classroom instruction.
b. MUE 541 (Psychology of Music)
Psychology of Music is an introductory course to the
theory and research of how people learn musical
knowledge and skills, and how these manifest
themselves in musical behaviors. Essentially, the
course answers the following question: How can we
maximize the effectiveness of music instruction?
Emphasis is placed on analysis of research related to
understanding musical behaviors and improving music
instruction based upon quantitative and qualitative
research. The thrust of the course is to improve
classroom instruction through critical analysis of
research in music education and closely related
disciplines (e.g., cognitive psychology, motor learning,
etc.).
16
2. List and describe new courses not yet implemented for the
program.
Each of the following courses has been approved by the
Coordinating Board, but has not, as yet, been taught.
a. MUE 542 (Foundations in Music Education)
Introduction to the history of music education,
musical aesthetics, and philosophy of music
educatioa
b. MUE 543 (Current Trends in Music Education)
A critical analysis on evaluation of various pedagogical
trends in music education. Emphasis is placed on
evaluation of various music education curricula
c. MUE 544 (Reflective Practitioner)
Intended for those individuals who are currently
employed as music specialists. Emphasis is placed on
application of current pedagogical theory through
critical thought and reflective practice.
d. MUE 545 (Music in Early Childhood)
Review and application of research, methods, and
materials for teaching music to preschool children.
Emphasis is placed on examining developmentally
appropriate and child-centered practices applied to
music.
e. MUE 546 (Technology in the Music Classroom)
Course provides students with skills to successfully
implement and utilize current music technology in the
classroom. Emphasis is placed on hands-on
experiences with technology to meet students'
individual needs.
f MUE 547 (Professional/Clinical Project)
Original, professional, or clinical/classroom
demonstration project resulting in a written paper
suitable for presentation or publication at a
professional meeting or in a professional journal.
17
B. Describe faculty resources and faculty requirements, if any.
1. List current faculty members, etc.
Ronald Anderson, Professor of Music, Ph.D., University of Iowa, MHL 531
(Music Bibliography); appointed 1970
Charles Gavin, Professor of Music, D.M.A., University of Iowa, MHL 523
(Music of the Romantic Era); appointed 1984
Stephen Lias, Assistant Professor of Music, D.M.A., Louisiana State
University, MTC 526 (Stylistic Analysis); appointed 2000
Robert Mann, Professor of Music, D.M.A., University of North Texas, MHL
521-525; appointed 1966
Mark E. Turner, Assistant Professor of Music, D.M.A., University of
Houston, MUE 540 (Music Research Seminar), MUE 541 (Psychology of
Music), MUE 542 (Foundations in Music Education), MUE 543 (Current
Trends in Music Education), and elective courses (taught only as needed);
appointed in 1998
2. If current faculty would be teaching new courses, how would their
teaching assignments change, etc.
Mark E. Turner would teach the majority of the new courses. Currently, he
teaches two sections of a music methods course for undergraduate
non-majors. The responsibility for teaching non-majors will be assumed by a
graduate assistant and a lecturer in music. This will allow him to teach two
graduate classes each semester. Courses in the "music core" are currently
part of various instructors' teaching load. Class size will allow for the
addition of several new students before requiring more than one section.
Therefore, at this time, the department will not need to hire additional faculty
to deliver the new program track.
3. List all new positions, etc.
None at this time.
C. Describe status of equipment with regard to this request.
I. Itemize expenditures during each of the last three (3) years for
equipment and supplies specifically for the proposed program.
Because this program will be delivered via distance learning, there are no
18
capital outlay purchases anticipated.
D. Describe status of facilities with regard to this request. Etc.
Most of the program will be delivered as distance learning courses. The facilities on
campus are more than adequate to support any courses taken on campus.
E. Provide library staffs assessment of library resources necessary for the proposed
program, if applicable.
The library staff believes that there are sufficient on-line resources to support the
proposed music program- Currently all of the music indexes, the New Groves
Dictionary of Music, Ask Eric, and 42 journals (fiill text) are available on line.
Distance learning students may request and use Interlibrary Loan and the university's
document delivery service. The reference librarian is adding electronic journals,
monthly. In many cases, they do not exist in music. The library will acquire on-line
music research journals as they become available. It should be noted that many music
research resources are available through most Internet search engines. Again, the
department believes that our current on-line holdings are adequate for our
distance-learning program- Moreover, students who are not close to Nacogdoches
can also access other state university and public libraries at their own locations in the
state through the TexShare program.
19
Appendix No. 2
Nonsubstantive Degree Program Proposal
NAME OF INSTITUTION Stephen F. Austin State University
NAME OF PROPOSED PROGRAM Master of Music in Accompanying
Display how proposed program would appear on the Coordinating Board program
inventory; include the Texas CIP code designation.
Music-Accompanying (MM)
50.0903.55.03
How would name of program appear on student diplomas?
Master of Music in Accompanying
How would name of program appear on student transcripts?
Master of Music in Accompanying
Administrative unit(s) responsible for the program:
Graduate School: College of Fine Arts: Department of Music
Proposed date for implementation of program: Fall. 2002
Person to be contacted for further information about proposed program:
Name: Dr. Ronald E. Anderson Title: Chair. Department of Music
Phone: (936) 468-4602 Fax: (936) 468-5810
Signatures:
Campus Chief Executive Officer Date
System Chief Executive Officer Date
Governing Board approval date:
20
NONSUBSTANTIVE PROGRAM REQUEST
MASTER OF MUSIC IN ACCOMPANYING
I. REASON FOR REQUEST
A. Rationale for request
This is a request to add a new track in piano accompanying to the Master of Music degree
programs already in place at Stephen F. Austin State University in performance and conducting.
Over the past fifty years, piano accompanying has emerged as an art form recognized as requiring
significant training in the techniques of piano accompanying, foreign language skills (for vocal
accompanying), and the extensive knowledge of vocal and instrumental repertoire.
During the last two decades, more and more institutions of higher education in the United States
have recognized accompanying as an important career option for pianists, and consequently they are
offering courses and degrees in accompanying to help pianists become competent collaborators and qualified
teachers of accompanying.
The piano division in the music department at Stephen F. Austin State University recognizes
accompanying as an important part of a pianist's training. Presently, we offer courses in accompanying to
undergraduate and graduate pianists. The proposed master's degree in piano accompanying will attract
experienced pianists to our university, strengthen our undergraduate and graduate programs, and will
provide additional accompanists to support the growing number of instrumentalists and vocalists in the
music department.
Similar programs are available only at Baylor University and the University of Houston. Because
of the severe limitation of positions available for concert pianists in the market today, accompanying is a
very viable job option for students and may be combined with the other main area, teaching. At SFA, for
example, the keyboard teaching staff consists of 1 and 1/2 FTE. The accompanying staff consist of 2 FTE.
21
H. PROGRAM DESCRIPTION
A. Objectives. This degree program is designed to prepare piano students for performing
careers as collaborators with vocalists and instrumentalists, and to begin preparing them for teaching
careers as instructors of piano accompanying. It includes additional technical keyboard study, literature
studies in both the vocal and instrumental areas, and substantial practical experience in collaborative
performance. Students also complete the music core required of all master's candidates in the Department.
Six hours of electives allow students to strengthen specific areas of interest or improve areas of weakness.
B. Curriculum requirement: 36 semester hour minimum. An entrance audition is required.
Transfer credits will be accepted. The major goal of this program is to help students become excellent
performers. The degree format outlined below follows the guidelines of the National Association of Schools
of Music for a Master of Music degree in accompanying. These guidelines require a minimum of 30 hours
at the graduate level.
MAJOR AREA
1. ACCOMPANYING
MUP519
MUP519
MUP519
MUP561
MUP562
MUP539
MUP509
Applied Piano (2-2) (1st year)
Applied Accompanying (2-2) (1st year)
Applied Accompanying (2-2) (2nd year)
Survey of Vocal Literature
Survey of Instrumental Literature
Chamber Music Practicum
Applied Harpsichord
Total
Sem. Hours
4
4
4
2
2
1
L
18
22
2. CORE REQUIREMENTS
MTC 526 Stylistic Analysis 3
MHL531 Bibliography 3
MHL 521-525 History 4
Total 10
3. PERFORMANCE TRACK
MUS572 "Professional Development (l-l) 2
*Serve as accompanist for two of the following ensembles
listed below:
MUP 595 Recitals (2) [ Instrumental, 1 Vocal] 0
Total 2
4. ELECTTVES (minimum 6 total credit hours)
MUP 509 or 519 Applied Organ 1 -2
MUP 519 Applied Piano 2
MUP 539 Chamber Music Practicum 1
MUP 456 Choral Conducting Seminar 3
MUP 457 Instrumental Conducting 3
MUS 575 Advanced Graduate Studies 1-3
5. Foreign language Requirement:
1) Must have passed the equivalent of two semesters of college level study in
French, German, or Italian.
2) Diction proficiency in French, German, and Italian is a prerequisite for admission
into the program. Students who do not meet this requirement must enroll in the
appropriate diction classes as part of their remedial course work.
6. Thesis: none
23
ffl. RELATIONSHIP TO EXISTING AUTHORIZED PROGRAMS
A. The proposed program will follow the curriculum of the recently approved Master of
Music degree program in performance, but will require these additional courses: MUP
561, and MUP 562. Both are being requested during the current academic year.
B. Approval of the proposed program for a Master of Music degree in piano accompanying
will strengthen the existing piano performance graduate program in three ways:
1) It will broaden the career options for students presently in the graduate keyboard
program.
2) It will strengthen the SFA music program in other areas (instrumental, vocal) by
providing student musicians with a larger pool of accompanists and additional
coaching in ensemble performance.
3) It will provide a new enticement for students to enroll in the graduate program at
SFA.
IV. EXPECTED ENROLLMENT
The department of music at SFA has increased its enrollment from 204 in 1996 to 278 in 2001.
Presently, there are two graduate students in piano. The Department expects a gradually increasing number
of students, from 2 to 5, to enroll in the program every year over the next 6 years. Ideal recruitment goals
would best be reached with significantly increased funding for graduate assistantships, however. The
estimate is based on a reflection of past history and the fact that only two other schools in the state offer a
Master of Music degree program in Accompanying.
V. RESOURCES
A. New courses needed for the program: MUP 561 (Survey of Vocal Literature) and MUP
562 (Survey of Instrumental Literature). Both will focus on the main core of literature in
each field as they relate to technical, collaborative, and performance practice
considerations for the accompanist.
B. Faculty resources and faculty requirement: present faculty are adequate for the program.
1. Dr. Ronald Petti (D.M.A. in Accompanying), Director of Accompanying,
appointed in 1998; coordinator of program and one of main teachers.
2. Dr. Andrew Parr (D.M.A. in Piano Performance), Coordinator of Keyboard area,
appointed in 1983; main teacher of technical studies.
3. Dr. James Pitts (D.M.A. in Piano Performance), Staff Accompanist, appointed in
1999; assisting with literature studies.
24
Current faculty would teach the new courses, but released accompanying duties would be
then covered by new students in the program who would compensate with specific their
accompanying assignments. All of the core classes can absorb the new students in
established classes.
C. Status of equipment: the department needs to acquire a two-manual harpsichord. This has
been authorized in the current year capital budget. The Department did spend $250,000
about three years ago for new keyboards in equipping the new Music Building. This
included purchase of a new 9' grand and a 7 grand. In addition, the Department
purchased a Disklavier Grand that can record accompaniments.
D. Status of facilities: sufficient, following the opening of the new Music Building in 1998.
E. Status of library resources: adequate at present. The accompanying still will be working
with library staff to add scores and CDfs of needed works as budgets will allow.
25
Appendix No. 3
Stephen F. Austin State University
HEAF Allocation
for Fiscal Year 2002-03
26
Appendix No. 4
RESOLUTION AUTHORIZING A REQUEST FOR FINANCING
Homer Bryce Stadium Pressbox and Accessibility
WHEREAS, the Texas Public Finance Authority (the "Authority") has the exclusive
authority to act on behalf of Stephen F. Austin State University (the "University") in the
issuance of bonds pursuant to Tex. Rev. Civ. Stat, art. 601d as amended; and
WHEREAS, the University has been authorized to acquire, purchase, construct, improve,
renovate, enlarge, or equip property, buildings, structures, facilities, roads or related
infrastructure to be financed by the issuance of bonds or other authorized financing
mechanism pursuant to Texas Education Code 55.17 in the aggregate principal amount
not to exceed $2,600,000; and
WHEREAS, the Board of Regents of Stephen F. Austin State University (the "Board of
Regents") now desires to approve and authorize financing to enable the University to
acquire, purchase, construct, improve, renovate, enlarge, or equip property, buildings,
structures, facilities, roads or related infrastructures, and authorizes the President of the
University (the "President") or designees to submit requests for financing to the
Authority from time to time to issue bonds or other authorized financing mechanism in an
aggregate amount not to exceed $2,600,000 to enable the University to acquire, purchase,
construct, improve, renovate, enlarge, or equip property, buildings, structures, facilities,
roads or related infrastructures and to take other actions related thereto.
THEREFORE, BE IT RESOLVED BY THE BOARD OF REGENTS OF STEPHEN F.
AUSTIN STATE UNIVERSITY THAT:
1) The University is duly authorized by law pursuant to Texas Education Code, Section
57.17 to acquire, purchase, construct, improve, renovate, enlarge, or equip property,
buildings, structures, facilities, roads or related infrastructures to be financed by the
issuance of bonds or other authorized financing mechanism in accordance with Texas
Education Code, Chapter 55, Subsection B in the aggregate amount not to exceed
$2,600,000;
2) Dr. Tito Guerrero, President, or his designee is hereby authorized and directed to
submit requests from time to time to the Authority to issue bonds or other authorized
financing mechanism in an aggregate amount not to exceed $2,600,000 in order that
the University may acquire, purchase, construct, improve, renovate, enlarge, or equip
property, buildings, structures, facilities, roads or related infrastructures as these
projects are specifically approved by the Board of Regents and further approved by
the Texas Higher Education Coordinating Board as may be required;
3) the President is hereby further authorized to approve, execute, and deliver or cause to
be delivered those documents and such other instruments including but not limited to
the financing documents required by the Authority's rules, and to take such other
27
projects are specifically approved by the Board of Regents and further approved by
the Texas Higher Education Coordinating Board as may be required; *-
3) the President is hereby further authorized to approve, execute, and deliver or cause to
be delivered those documents and such other instruments including but not limited to
the financing documents required by the Authority's rules, and to take such other
actions as are necessary and appropriate in connection with the issuance, sale, or
delivery of the bonds or other authorized financing mechanism;
4) due notice of the meeting and the subject matter of this Resolution was given as
required by law; and that a quorum of the Board of Regents was present at the
meeting at which this resolution was considered.
Adopted/Rejected by a vote of 8 yeas. 0 nays effective as of
July 25 , 2002.
Chairman, Board of Regents
Stephen F. Austin State University
Secretary, Board of Regents
Stephen F. Austin State University
28
Stephen F. Austin State University
Schedule of Budget Changes
April 12, 2002 to July 9, 2002
Appendix No. 5
ACTIVITY RECIPIENT INCOME SOURCE REF#
ACCOUNT NAME
Texas College Workstudy
RHA Executive Officer
Wellness Program
Student Government Discr.
Agriculture Judging Contest
Equine Studies
Cultural Entertainment
Music Computer Lab
Developmental Education
All Girl Cheerleader
Music Preparatory
University Interscholastic League
Texas National
Speech and Hearing Clinic
Secondary Education
Agriculture Development
OSA Graphics Shop
Cultural Entertainment
All Girl Cheerleader
Pom Squad Discretionary
Sociology Excellence
Health Career Camp
All Girl Cheerleader
Secondary Education
Printing Services
Jack Camp
Co-Ed Cheerleader Discr.
OSA Graphics Shop
TOTAL
ACCOUNT NUMBER
1-00205
4-91733
3-00450
5-91398
2-32005
4-91002
3-00480
2-03133
1-00201
5-91400
2-03129
2-35500
5-96231
2-32263
2-02300
5-91347
3-50690
3-00480
5-91400
5-91397
5-91731
4-31017
5-91400
2-02300
2-72909
2-51171
5-91399
3-50690
SOURCE DESCRIPTION
Additional Revenue
Additional Revenue
Additional Revenue
Additional Revenue
Additional Revenue
Additional Revenue
Additional Revenue
Additional Revenue
Additional Revenue
Additional Revenue
Additional Revenue
Additional Revenue
Additional Revenue
Additional Revenue
Additional Revenue
Additional Revenue
Additional Revenue
Additional Revenue
Additional Revenue
Additional Revenue
Additional Revenue
Additional Revenue
Additional Revenue
Additional Revenue
Additional Revenue
Additional Revenue
Additional Revenue
Additional Revenue
AMOUNT DATE
29
Policies for Board Review
July 25, 2002
Appendix No. 6
30
Acceptable Use of Information Resources NEW
Original Implementation: July 25, 2002
Last Revision: None
STATEMENT
Stephen F. Austin State University (SFASU) encourages the responsible use of its
information resources. The use of information resources is for SFASU academic
activities, research, and public service. Access to SFASU s information resources is,
however, a privilege. All users of information resources should act responsibly to
maintain the integrity of these resources. Furthermore, all users must abide by all existing
SFASU codes of conduct as well as by local, state, and federal statutes. SFASU reserves
the rights to limit, restrict, or extend privileges and access to its resources. SFASU s
information resources include, but are not limited to, computers, servers, networks,
computer-attached devices, network-attached devices, voice systems, cable systems, and
computer applications.
Appropriate use should always be legal and ethical, reflect academic honesty, uphold
community standards, and show restraint in the consumption of shared resources.
Appropriate use demonstrates respect for intellectual property, ownership of data, system
security mechanisms, and every individual's right to privacy and to freedom from
intimidation, harassment, and unwarranted annoyance.
RESPONSIBILITIES
• It is the responsibility of every person using SFASU s information resources to
protect the privacy of his/her account(s). Personal account information should not
be released to friends, relatives, roommates, etc. Users are responsible for the
security of their passwords. Passwords should be changed on a regular basis.
• Any person using SFASU information resources is prohibited from using a
computer account for which he/she is not authorized, or obtaining a password for
a computer account not assigned to him/her.
• The owner or designated assignee of a computer that is attached to the SFASU
network is responsible for both the security of the computer system and for any
intentional or unintentional activities from or to the network connections. The
owner or designated assignee is responsible for all network activity originating
from his/her equipment, regardless of who generates it.
• Any person operating a network-intensive application or a defective computer that
causes network overload will be notified, and steps will be taken to protect other
users and the overall SFASU network. This may include disconnecting the
offending computer system from the network until the problem is resolved. If the
condition is an imminent hazard to the SFASU network or disrupts the activities
of others, then the offending computer system or the subnet to which it is attached
may be disabled without notice. This latter course of action may affect other
users connected to the network. The operator of the offending computer system
will be expected to follow instructions from Networking staff for securing his/her
machine.
PI
• Any person using e-mail should not send excessive e-mail/attachments or
messages locally or over the network such as chain letters, advertisements, or
solicitations. The responsible use of e-mail will help prevent network congestion.
• The content of any files or services made available to others over the network is
the sole responsibility of the person with ownership of and/or administrative
authority over the computer providing the service. It is this person's responsibility
to be aware of all applicable federal and state laws, as well as SFASU policies.
This person will be liable for any violations of these laws and policies.
• It is the responsibility of every person using SFASU s information resources to
refrain from engaging in any act that may seriously compromise, damage, or
disrupt the operation of computers, terminals, peripherals, or networks. This
includes, but is not limited to, tampering with components of a local area network
(LAN) or the backbone, blocking communication lines, interfering with the
operational readiness of a computer, creating/operating unsanctioned servers or
personal web or FTP sites, or delivering streaming audio, video, high bandwidth
gaming, or high bandwidth video conferencing.
• All breaches of system security should be reported immediately to the
Networking department.
INFRACTIONS
Examples of infractions include, but are not limited to:
• Gaining or attempting to gain unauthorized access to information or resources that
are private or protected.
• Circumventing or attempting to circumvent data protection schemes or exploiting
security loopholes.
• Running programs that attempt to identify passwords, weaknesses in the
SFASU system, or other security codes.
• Attempting to monitor or tamper with another user's data communications or
network traffic, or reading, copying, changing, or deleting another user's files
or software without the explicit agreement of the owner.
• Knowingly running or installing on any computer system or network, or giving to
another user, a program intended to damage or to place an excessive load on a
computer system or network. This includes but is not limited to programs known
as computer viruses, Trojan horses, and worms.
• Masking or attempting to mask the identity of the account or computer. For
example, pointing a non-sfasu.edu domain name at a host within SFASU address
space.
• Knowingly performing an act that will interfere with the normal operation of
computers, terminals, peripherals, or networks.
• Sending chain letters, advertisements, or solicitations of any type. Sending mass
mailings to individuals who have not expressly agreed to be contacted in this
manner.
• Using IP addresses not specially assigned by Networking. Each member of the
network is allowed only one IP address and may connect only one computer to the
network at a time (with the exception of faculty and family housing).
• Using excessive Internet bandwidth.
P2
• Connecting NAT, DHCP or BOOTP servers to the network.
• Failing to comply with Networking instructions for configuring equipment or
repeatedly engaging in activities that generate complaints to Networking.
• Using SFASU computer resources for private business or commercial activities
(except where such activities are otherwise permitted or authorized), fundraising
or advertising on behalf of non-SFASU organizations, reselling of SFASU
computer resources to non-SFASU individuals or organizations, and unauthorized
use of SFASU s name.
• Allowing unauthorized access to SFASU computing resources to individuals not
affiliated with SFASU.
• Violating terms of applicable software licensing agreements or copyright laws.
• Possessing, using, or distributing any electronic data that is confidential under
SFASU policies, by electronic or any other means.
• Engaging in unlawful communications, including threats of violence, obscenity,
child pornography, and harassing communications (as defined by law).
• Attempting to alter any SFASU computing or networking components (including,
but not limited to, switches, routers, and hubs) without authorization or beyond
one' s level of authorization.
• Modifying SFASU wiring including, but not limited to, data, phone, and cable
TV.
• Creating or attempting to create unauthorized network connections or
unauthorized extensions, or re-transmitting any computer or network services.
• Permitting damage through negligence of SFASU electronic information,
computing and/or networking equipment and resources.
• Failing to comply with requests from appropriate SFASU officials to discontinue
activities that threaten the operation or integrity of computers, systems, networks,
or otherwise violate this policy.
PENALTIES
Misuse of computing, networking, or information resources may result in the loss of
computing privileges, as well as other disciplinary action.
PRIORITIES
When demand for computing resources may exceed available capacity, priorities for their
use will be established and enforced. The priorities for use of computing resources are:
Highest.Uses that directly support the educational, research, and service
missions of SFASU.
Medium: Other uses that indirectly benefit the education, research, and
service missions of SFASU, as well as reasonable and limited personal
communications.
Lowest: Recreation, including game playing and general browsing.
P3
Forbidden: All activities listed in the Infractions section of this policy, as
well as breaches of the Responsibilities section not specifically listed
under the Infractions section.
SFASU may enforce these priorities by restricting or limiting usages of lower priority in
circumstances where their demand and limitations of capacity impact or threaten to
impact usages of higher priority.
IMPLIED CONSENT & LIABILITY RELEASE
Each person with access to SFASU computing resources is responsible for their
appropriate use, and by their use agrees to comply with all applicable SFASU policies
and regulations, with applicable City, State, and Federal laws and regulations, and with
the acceptable use policies of affiliated networks and systems.
Each person requesting service from an SFASU Telecommunications and Networking
technician for equipment owned by a person or entity other than SFASU, must
acknowledge and accept the following liability release before the technician will be
permitted to provide the requested service:
By accepting technical support from the Telecommunications and Networking
staff, I expressly waive all claims against SFASU and its agents for any damages
to my computer system or data that are incidental to the technical support
rendered by Telecommunications and Networking. I understand that the technical
support I receive from Telecommunications and Networking may void
manufacturer warranties and I understand that Telecommunications and
Networking offers no verbal or written warrantyt either expressed or implied,
regarding the success of this technical support. I understand that I have the right
not to accept support from Telecommunications and Networking staff and to seek
technical assistance elsewhere.
Source of Authority: Vice President for Business Affairs
Cross Reference: None
Contact for Revision: Director of Information Technology Services
Forms: None
P4
Educator Preparation A-6
Original Implementation: September 1, 1987
Last Revision: April 20, 1999July 25, 2002
Since its establishment in 1923 as a teachers college, Stephen F. Austin State University
has played a leading role in preparing professional personnel for the public schools of
Texas. The preparation of highly competent teachers, principals, superintendents, and
other school personnel to staff the schools of the State continues to be a major function of
the University.
Educator preparation is a University-wide function governed by policies developed by
the Teacher Education Council. In developing and executing policies, the Council gives
due consideration to relevant State and Federal law, to University Policies and
Procedures, to recommendations from appropriate advisory committees, to guidelines of
the Texas Higher Education Coordinating Board, to rules of the State Board for Educator
Certification (SBEC), and to the program standards of the National Council for
Accreditation of Teacher Education (NCATE). Accreditation by SBEC and NCATE
assures program quality.
The Council review proposals for changes in teaching field programs and in professional
education programs to assure appropriate curricula. Also, it establishes criteria for
program admission and retention and for recommendation for educator certification or
licensing.
The Council is chaired by the Dean of the College of Education and is composed of
faculty members appointed by the Vice President for Academic Affairs from nominees
submitted by the Dean of Education after consultation with the deans of other colleges
offering the various teaching fields. Other members of the Council include the Associate
Dean of Education, who serves as Council Secretary, and two representatives of the
Texas Student Education Association appointed by its president.
Source of Authority: Texas Education Code, Title II, Sub Title D, Chapter 21,
Subchapter B, sec 21.044, President, Vice President for Academic Affairs
Cross Reference: General Bulletin, Graduate Bulletin
Contact for Revision: Vice President for Academic Affairs
Forms: None
P5
Laboratory Fees A-24
Original Implementation: June 29, 1981
Last Revision: April 19, 1999July 25, 2002
Laboratory fees shall be assessed in an amount sufficient to cover in general the cost of
laboratory materials and supplies used by a student.. A department or a school may
choose to average the costs over its total laboratory program and set an appropriate
uniform fee. The basic fee is $10. For those classes where it can clearly be demonstrated
that the value of expendable supplies is well beyond $10, a reasonable laboratory fee, not
to exceed $30 may be charged.
Laboratory fees will be recommended by the department Chair and approved by the Dean
of the College and the Vice President for Academic Affairs and published in the
appropriate bulletin of the University. Fees will be reviewed annually in conjunction with
the April meeting of the Board of Regents.
Source Of Authority: Board of Regents, President, Vice President for Academic Affairs
Cross Reference: Faculty Handbook
Contact For Revision: Vice President for Academic Affairs
Forms: None
P6
Awarding Academic Credit for Noncollegiate A-52
Sponsored Instruction
Original Implementation: October 26, 1999
Last Revision: NeaeJw/y 25, 2002
Role and Scope
The purpose of this policy statement is to provide an approved methodology and
procedures for students wishing to be awarded academic credit for extrainstitutional
learning experiences on the Bachelor of Applied Arts and Sciences degree. Further, this
policy provides a rationale for the credit awarded and definitions of the significant
elements of the process; it also establishes guidelines for developing the life-experience
portfolio, and provides a means for monitoring the policy.
Review
It is the responsibility of the Dean of Applied Arts and Sciences to review and implement
this policy.
Rationale
The awarding of academic credit for noncollegiate sponsored instruction is based on the
position that it is reasonable educational practice to grant academic credit for high quality
educational programs. This means of allowing credit is sound when these programs of
study and life experiences overseen by noncollegiate organizations are determined to be
at the college level. Further, to be awarded toward the baccalaureate degree the credit
must be appropriate to an individual s degree program. The experiences of educational
institutions who engage in this practice have shown that the awarding of credit for prior
learning often motivates students to enroll and complete the full academic degree
process, thus enriching their lives and career opportunities.
Definitions
B.A.A.S. Degree - The Bachelor of Applied Arts and Sciences Degree is designed to
offer students with vocational-technical training and work experience in a given
occupational field the opportunity to obtain a baccalaureate degree without the usual
significant loss of credits that occurs in pursuing a traditional degree. The degree is
designed to provide both academic and professional depth to individuals who possess
recognized competency in occupational or technical fields.
Noncollegiate Sponsored Instruction - A form of extrainstitutional learning sponsored by
non-accredited associations, business, industry, or military units to develop knowledge,
skills, and values.
P7
Extrainstitutional Learning - Any learning experience that accrues to the student outside
the sponsorship of an accredited institution of higher education.
Work/Life Experience - A form of noncollegiate sponsored learning that develops
knowledge, skills, and values as a result of sponsored experiences documented through
the occupational portfolio.
Occupational Portfolio - A compilation of pertinent documents and third party
verification that develops a history and basis for the levels of competency submitted for
evaluation. Documentation should focus on establishing that skill levels and occupational
competence are equivalent to college work.
Oversight and Authority
Stephen F. Austin State University was granted authority on July 16, 1974, by the Texas
Higher Education Coordinating Board to offer the Bachelor of Applied Arts and Sciences
Degree. The proposal submitted to and approved by the THECB for the Bachelor of
Applied Arts and Sciences Degree included in Section 1.0 the following special feature
which is the focus of this policy statement:
"Semester hour credit for experience and/or exhibited competency is permissible in both
Academic Foundations (up to 12 hours) and Academic Specialization (up to 24 hours).
An expanded innovative program of advising and counseling will be necessary to
administer the program."
Oversight for the degree and authority to administer the life-experience credit program
has been placed with the College of Applied Arts and Sciences. The Dean of the College
is charged with developing procedures for the implementation of all features of the
Bachelor of Applied Arts and Sciences Degree.
Procedure for Credit Awards
Credit for documented life-experience is awarded based on the principle that valid
learning experiences at the college/university level can occur outside of a direct higher
education environment. These learning experiences can be derived through various
extrainstitutional encounters such as continuing education, professional development
instruction, the process of licensure, in-service training, military training, and direct
supervision.
The evaluation of noncollegiate credit is dependent upon an examination process that is
designed to ascertain whether the life-experiences have been of the nature and extent that
they are equal to college level instruction. The measure of equivalency is determined at
three levels:
P8
a. The Curriculum of the Learning Experience
The course of study being reviewed will meet the standard of currency and
relevance. That is, it will be equivalent to a course of study that is included in the
curriculum of a contemporary institution of higher education.
b. The Qualifications of the Instructor
Instruction for the course must be delivered/supervised by an individual or
individuals whose credentials have been reviewed and accepted by duly
authorized peers or an appropriate sponsoring professional organization or
corporation.
The Evaluation of the Student
Each course of study receiving an award of credit must use a means of evaluating the
learner's progress that is appropriate to the subject matter and the manner of instruction.
The evaluation must be valid and documented.
All applications for credit through noncollegiate sponsored learning experiences must be
submitted by the student to his/her adviser at the time a degree plan is offered to the Dean
of Applied Arts and Sciences for approval. The request for credit must be submitted as an
occupational portfolio accompanied by all pertinent documentation. Should any credit be
awarded for noncollegiate sponsored instruction it will be applied only to the Bachelor of
Applied Arts and Sciences Degree.
The Dean of Applied Arts and Sciences will review all credit recommendations and make
a final determination as to the amount of credit to be awarded.
Credit awarded will be submitted to the Office of the Registrar on Form AAS-Ex for
posting on the student s transcript.
Appeals
Appeals of credit awards may be made in writing to the Academic Council of the College
of Applied Arts and Sciences for resolution. The Council may either affirm the decision
of the dean or make its own credit recommendation. In all cases the decision of the
Council will be final.
References
P9
Evaluation of the application for credit will be made using the :
Directorv of the National Program on Noncollegiate Sponsored Instruction
National Guide to Credit Recommendations for Noncollegiate courses
Guide to the Evaluation of Educational Experiences in the Armed Services
Aviation Education Review Organization College Credit Standards Guide
And other means and resource materials as appropriate and recognized.
Source of Authority: Vice President for Academic Affairs
Cross Reference: None
Contact for Revision: Dean of Applied Arts and Sciences
Forms: AAS-Ex
P10
File Maintenance for Faculty Personnel Files A-60
Original Implementation: October 31, 2000
Last Revision: October 23, 200Uuly 25, 2002
The Southern Association of Colleges and Schools requires that the university keep on
file for all full-time and part-time faculty members documentation of academic
preparation including official transcripts, and, if appropriate for demonstrating
competency, official documentation of professional and work experience, technical and
performance competency, records of publications, certifications and other qualifications.
To meet that requirement, the following guidelines have been established which address
the contents of the file as well as the designated place for maintaining the file.
Filed in Office of Vice President for Academic Affairs:
I. Tenured/Tenure Track Faculty: Professor, Associate Professor, Assistant
Professor, Instructor, Librarian I, II, III or IV 9 month, 100% time, tenure track
1) Personnel Action Request form (green copy)
2) Recommendation for Appointment form
3) Signed contract issued by VPAA office
4) Post-hire form
5) Curriculum Vita
6) Official transcripts from all degree granting institutions attended
7) Three letters of reference
II. Visiting (Rank), Lecturer, Librarian IT, II-T, III-T, or IV-T, Designated (full-time)
9 month, 100% time, non-tenure track
1) Personnel Action Request form (green copy)
2) Recommendation for Appointment form
3) Signed contract issued by VPAA office
4) Post-hire form
5) Curiculum Vita
6) Official transcripts from all degree granting institutions attended
7) Three letters of reference
Filed in Office of Dean:
I. Adjunct, Designated (part-time) 4.5 to 9 months, less than 100% time, non-tenure
track
1) Personnel Action Request form (blue copy)
2) Signed contract issued by Dean s office
3) Post-hire form
4) Curriculum Vita
Pll
5) Official transcripts from all degree granting institutions attended
6) Three letters of reference
II. Graduate Teaching Assistant (Domestic) Enrolled graduate student, 50% time or
less, non-tenure track
1) Personnel Action Request form (blue copy)
2) Signed contract issued by Graduate office
3) Post-hire form
4) Official transcripts from all degree granting institutions attended
5) Three letters of reference
Filed in Graduate Office:
I. Graduate Teaching Assistant (Inernational) - Enrolled graduate student, 50% time or
less, non-tenure track
1) Personnel Action Request form Qai&e-green copy)
2) Signed contract issued by Graduate office
3) Post-hire form
4) Official transcripts from all degree granting institutions attended
5) Three letters of reference
The above records must be maintained for five (5) years after personnel leave active
employment.
Note: See Policy E-1A, Academic Appointments and Titles, for definition of titles.
Source of Authority: Vice President for Academic Affairs
Cross Reference: Policy and Procedure Manual, Faculty Handbook
Contact for Revision: Vice President for Academic Affairs
Forms: None
P12
Historically Underutilized Businesses C-16.5
Original Implementation: August 2, 1994
Last Revision: October 23, 200XJuly 25, 2002
In accordance with Texas Government Code, Title 10, Subtitle D, Chapter 2161, and 1
Texas Administrative Code section 111.11 through 111.28, Stephen F. Austin State
University will make a good faith effort to utilize Historically Underutilized Businesses
(HUBs) in contracts for construction, services, including professional and consulting
services and commodities contracts. The Texas Building and Procurement Commission
(TBPC) HUB Rules, 1 TAG 111.11-111.28 encourages the use of HUBs by
implementing these policies through race-ethnic-and gender-neutral means.
The Director of Purchasing and Inventory shall serve as the official HUB Coordinator.
The purpose of the HUB Program is to promote full and equal business opportunities for
all businesses in State contracting in accordance with the goals specified in the State of
Texas Disparity Study.
GOALS
GOAL #1
The University's specific goals have been adjusted to eliminate "overutilized" HUBs
identified in the State of Texas Disparity Study and are as follows.
A. Best value procurement opportunities over $5,000, but less than $25,000 require at
least three informal bids, including half from certified HUB vendors.
B. Best value procurement opportunities over $25,000 require at least five formal bids,
including half from certified HUB vendors.
C. Formal best value procurement opportunities will be posted to the Purchasing
Department web site.
D. Best value procurement opportunities exceeding $25,000 will be posted to the Texas
Marketplace.
P13
E. Best value procurement opportunities $100,000 and greater will require a HUB
Subcontracting Plan (HSP) to be submitted as a required by 1 TAC Section 111.14. See
Goal #3.
GOAL #2
The University will pursue various forms of outreach to identify certified and non-certified
HUB vendors with which to develop a business relationship. Vendors will be
advised of and/or assisted with the State's certification process.
A. The University Purchasing Department will host a vendor fair at which vendors across
the state will be invited to participate. Vendors will be provided with information
regarding how to do business with the University, as well as information about the HUB
certification process, and other state rules and guidelines. The University campus, other
state agencies, ISD's, and city and county governments will be invited to attend and make
procurement opportunities available.
B. The HUB Coordinator and/or Purchasing Department buyers will attend and
participate in other economic opportunity forums in the Houston, Dallas and Austin
Metroplexes and East Texas.
C. The University Purchasing Department will utilize the HUB directory provided by the
TBPC on-line when selecting potential suppliers and subcontractors for commodities,
services, and construction contracts.
D. The HUB Coordinator will analyze expenditures after each reporting period and
produce a mail piece to target various groups, i.e. specific service vendors, vendors by
city or county, vendors by dollar amount, etc., and notify them of the State s HUB
certification process if the HUB Coordinator determines that a mail piece would be
beneficial.
E. The University Purchasing Department will send a mail piece to all new Texas
vendors added to the FRS vendor database advising them of the State's HUB certification
process.
F. The University will host HUB forums as needed to introduce potential HUBs to
upcoming construction and/or renovation projects.
GOAL #3
Stephen F. Austin State University will seek to contract with HUBs indirectly through
subcontracting opportunities in accordance with Texas Government Code, chapter 2161,
Subchapter F and Commission HUB Rules, 1 TAC Section 111.14.
A. All procurements $100,000 or greater will require the University to prepare the bid
document including HUB Subcontracting Plan (HSP) requirements as developed by the
P14
HUB Coordinator. Potential bidders will be required to submit a HUB Subcontracting
Plan (HSP) as provided by the bid documents in order for the bid to receive
consideration.
GOAL #4
The University will establish educational training for personnel making procurement
decisions to assure compliance with stated objectives.
A. The University Purchasing Department will publish a newsletter which will, from time
to time, include HUB information.
B. The University Purchasing Department will conduct training seminars for all campus
departments advising them of all current purchasing policies and procedures.
C. ProCard training will include an emphasis on the need to make small purchases from
HUBs and will include a list of HUB vendors for the most common purchases made with
the ProCard.
D. Regular training for the use of the on-line requisition system will include an
introduction of general purchasing policies and guidelines. This introduction will include
information regarding the requirements to make a good faith effort to purchase from
HUBs.
E. The University Purchasing Department will host at least one HUB forum per year in
which HUB vendor(s) are invited to present their business to appropriate procurement
personnel from the Purchasing Office as well as end users with delegated purchasing
authority
GOAL #5
The University will gather HUB data to comply with the reporting requirements of Texas
Government Code, Title 10, Subtitle D, Chapter 2161 and 1 Texas Administrative Code
sections 111.11 through 111.28.
GOAL #6
The University will develop a program to foster long-term relationships between
leaders of mature established companies and emerging minority and women owned
companies (that are HUB certified or eligible to be HUB certified) in order for the
latter to benefit from the knowledge and experience of the established firms.
A. The University will implement a Mentor-Protege program patterned after the TBPC
program and in accordance with Government Code 2161.065.
P15
B. Participation in the Mentor-Protege program will be understood to be voluntary on
both the part of the Mentor and Protege and is neither a guarantee for contract
opportunity nor a promise of business.
Source of Authority: Vice President for Business Affairs
Cross Reference: Texas Government Code, Title 10, Subtitle D, Chapter 2161; and
Texas Administrative Code, sections 111.11 through 111.28
Contact for Revision: Director of Purchasing and Inventory/HUB Coordinator
Forms: NoBeMentor Application, Protege Application, Mentor-Protege Sample Program
Agreement; all available in the Purchasing Office
P16
Interagency and Interlocal Contracts C-18
Original Implementation: Unpublished
Last Revision: JanuaryJtz/y 25, 2002
The purchase of goods or services from another agency of the state of Texas is allowed
by the Interagency Cooperation Act, except that a state agency may not enter into an
agreement or contract that requires or permits the agency to exceed its duties and
responsibilities or the limitations of its appropriated funds. An agency may purchase
goods, equipment and special or technical services including the services of an employee
through an Interagency Cooperation Contract.
The Purchase of goods or services from or by apolitical subdivision such as a city or
county government, school district, or junior or community college in agreement with a
State Agency is handled as an Interlocal Agreement, and is allowed so long as neither the
agency nor the political subdivision exceeds its duties and responsibilities or the
limitation of its appropriated funds or its governing board or commission.
A state agency may not provide services or resources to another agency that are required
by Article XVI, Section 21, of the Texas Constitution to be provided under a contract
awarded to the lowest responsible bidder. Printing services MAY NOT be purchased
through an Interagency or Interlocal Agreement.
SFA AS THE RECEIVING AGENCY
A requisition must be submitted to initiate an inter-agency or interlocal purchase where
SFA is the receiving agency. The requisition must include the following:
a. the kind and amount of goods or services to be provided;
b. the basis for computing reimbursable costs; and
c. the maximum cost during the period of the agreement
If the cost will be $50,000 or greater a formal agreement must be completed in addition
to the requisition and including the same information above, and Board approval must be
obtained.
SFA AS THE PERFORMING AGENCY
The Purchasing Office is not involved. If the estimated cost of the goods or services is
less than $50,000 the department must document the exchange through some type of
informal letter of agreement or memoranda. If the cost is $50,000 or greater, a formal
written agreement signed by both agency heads is required, and SFA Board approval
must be obtained. An Interlocal Agreement requires a formal written agreement
regardless of the dollar amount. The written agreement must include the following.
P17
a. the kind and amount of goods or services to be provided;
b. the basis for computing reimbursable costs; and
c. the maximum cost during the period of the agreement
An agency shall reimburse another agency for the goods or services provided with an
interagency voucher payable to the providing agency or electronically as prescribed by
the Uniform Statewide Accounting System. A reimbursement received by an agency for
goods or services provided shall be credited to the appropriation items or accounts from
which the agency s expenditures for goods or services were made.
An agency shall reimburse or be reimbused by apolitical subidivison for the goods or
services provided through the issuance and payment of an invoice.
Source of Authority: Texas Government Code, Title 7, Chapter 771 and Chapter 791;
Texas Constitution, Article XVI, Section 21; President; Vice President for Business
Affairs
Cross Reference: Purchase Requisition Policy C-30; Items Requiring Board of Regents
Approval Policy D20.5
Contact for Revision: Director of Purchasing and Inventory
Forms: Purchase Requisition; Interagency Transaction Voucher (available in
Controller s Office)
P18
Investments C-41
Original Implementation: April 30, 1996
Last Revision: January 15 July 25, 2002
Policy Statement
Stephen F. Austin State University invests the public funds in its custody with primary
emphasis on the preservation and safety of the principal amount of the investment.
Secondarily, investments must be of sufficient liquidity to meet the day to day cash
requirements of the University. Finally, the University invests to maximize yield within
the two previously indicated standards. All investments within this policy conform to all
applicable State statutes and local rules governing the investment of public funds. This
policy is promulgated in accord with the Public Funds Investment Act (Government
Code, Chapter 2256), related portions of the Texas Education Code, and the applicable
portions of H. B. 2459, 74th Texas Legislature.
Scope
This policy establishes rules for the investment of all University and agency funds except
endowment funds. Endowment funds are invested in accordance with separate policy
approved by the Board of Regents and are the responsibility of fund managers selected by
the Board of Regents.
Objectives
The foremost objective of all investment decisions shall be safety of principal. All
investments must be undertaken with the fiduciary responsibility associated with that of a
reasonable and prudent person. Investments must be in accord with Texas law.
Investment maturity must be diversified to match the University's liquidity requirements.
Investments shall incur no unreasonable risk in order to maximize potential income.
Investments shall remain sufficiently liquid to meet all reasonably anticipated operating
requirements.
Investments may be diversified in order to respond to changing economic and/or market
conditions.
No investments within the portfolio or investment practices conducted to effect
investment activities shall violate the terms of this policy.
Authorized Investments
All University funds and funds held in trust for others may be invested only in the
following securities:
A) obligations of the United States of America, its agencies and
instrumentalities;
P19
B) direct obligations of the State of Texas or its agencies and
instrumentalities;
C) collateralized mortgage obligations directly issued by a federal agency or
instrumentality of the United States of America, the underlying security for which
is guaranteed by an agency or instrumentality of the United States of America;
D) other obligations, the principal of and interest on, which are
unconditionally guaranteed or insured by, or backed by the full faith and credit of,
the State of Texas or the United States of America or their agencies and
instrumentalities;
E) obligations of states, agencies, counties, cities, and other political
subdivisions of any state rated as to investment quality by a nationally recognized
investment rating firm of not less that A or its equivalent;
F) certificates of deposit issued by a state or national bank or savings and
loan association domiciled in Texas that is:
1) guaranteed or insured by the Federal Deposit Insurance Corporation;
2) fully collateralized by obligations described in Authorized Investments
section A-E listed above, including mortgage backed securities directly issued
by a federal agency or instrumentality that have a market value of not less
than the principal amount of the certificates, but excluding those mortgage
backed securities of the following nature:
a) obligations whose payment represents the coupon payments on the
outstanding principal balance of the underlying mortgaged-backed
security collateral and pays no principal;
b) obligations whose payment represents the principal stream of cash
flow from the underlying mortgage-backed security collateral and
bears no interest;
c) collateralized mortgage obligations that have a stated final maturity
date of greater than 10 years; and
d) collateralized mortgage obligations the interest rate of which is
determined by an index that adjusts opposite to the changes in a
market index.
G) fully collateralized repurchase agreements with a definite termination date,
secured by obligations described by Authorized Investments section F, requiring
the securities being purchased by the entity to be pledged to the entity, held in the
entity's name, and deposited at the time the investment is made with the entity or
with a third party selected and approved by the entity; and placed through a
primary government securities dealer, as defined by the Federal Reserve, or a
financial institution doing business in this state;
P20
H) bankers acceptances having a stated maturity of 270 days or fewer from
the date of issuance, to be liquidated in full at maturity, eligible for collateral for
borrowing from a Federal Reserve bank, and accepted by a bank organized and
existing under the laws of the United States of America or any state, if the short-term
obligations of the bank, or of a bank holding company of which the bank is
the largest subsidiary, are rated not less than A-l or P-l or an equivalent rating by
at least one nationally recognized credit rating agency;
I) commercial paper that has a stated maturity of 270 days or fewer from the
date of its issuance, and is rated not less than A-l or P-l or an equivalent rating by
at least two nationally recognized credit rating agencies or one nationally
recognized credit rating agency and is fully secured by an irrevocable letter of
credit issued by a bank organized and existing under the laws of the United States
of America or any state;
J) no-load money market mutual funds regulated by the Securities and
Exchange Commission, having a dollar-weighted average stated maturity of 90
days or fewer, and including in their investment objectives the maintenance of a
stable net asset value of $1 for each share;
K) guaranteed investment contracts conforming to Section 2256.015 of the
Government Code;
L) investment pools conforming to Section 2256.016 of the Government
Code;
M) cash management and fixed income funds sponsored by organizations exempt
from federal income taxation under Section 501(f), Internal Revenue Code of
1986 (26 U.S.C. Section 501 (f));
N) Assets and/or funds reportable within the scope of the University's annual
financial report may not be invested in or used to purchase securities, including
obligations, of a private corporation or other private business entity that owns
10% or more of a corporation or business entity which records or produces any
song, lyrics or other musical work that explicitly describes, glamorizes or
advocates:
(1) acts of criminal violence, including murder, assault, assault on police
officers, sexual assault, and robbery;
(2) necrophilia, bestiality, or pedophilia;
(3) illegal use of controlled substance;
(4) criminal street gang activity;
(5) degradation or denigration of females; or
(6) violence against a particular sex, race, ethnic group, sexual orientation, or
religion.
P21
Insurance or Collateral
All deposits and investments of University funds other than direct purchase of United
States Treasury securities or United States Agency securities and in money market funds
invested in U. S. Treasury or Agency securities shall be secured by a pledge of collateral
with a market value equal to no less than 100% of the deposits or investments less any
amount insured by the FDIC or FSLIC and pursuant to Article 2529d, the Public Funds
Collateral Act. Evidence of the pledged collateral associated with bank demand accounts
shall be maintained by the University Controller. Evidence of the pledged collateral
associated with investments shall be maintained by the Director of Financial Services.
Eligible repurchase agreements shall be documented by a specific agreement noting the
collateral pledged in each agreement. Collateral shall be reviewed monthly by the
Controller and Director of Financial Services to assure the market value of the securities
pledged equals or exceeds the related bank and certificates of deposit balances.
Pledged collateral shall be maintained for safekeeping by a third party depository.
Collateral Defined
The University shall accept only the following securities as collateral:
A) FDIC and FSLIC insurance coverage;
B) United States Treasury, Agency, or Instrumentality securities;
C) Other obligations, the principal of and interest on which are
unconditionally guaranteed or insured by the State of Texas or the United States
of America;
D) Obligations of states, agencies thereof, counties, cities, and other political
subdivisions of any state having been rated as to investment quality by a
nationally recognized investment rating firm and having received a rating of no
less than A or its equivalent.
Investment Strategy
All investments will be made in accordance with the University's Investment Policy.
Investments may be diversified as needed to provide investment suitability to the
University's financial requirements. The preservation and safety of principal is the first
priority, however, it is recognized that unrealized losses will occur in a rising interest rate
environment, just as unrealized gains will occur during periods of falling interest rates.
Investments will be of the type to provide sufficient liquidity and marketability for any
operating requirements. The investment portfolio may be diversified with authorized
securities to accommodate changing market conditions. However, United States Treasury
securities are preferable because of their low risk and high liquidity. An investment
decision shall consider yield only after the requirements for principal preservation,
liquidity, and marketability have been met.
Investments may be categorized and described as:
P22
A) Short Term - less than 90 days
Funds needed to meet short term operating requirements normally will be
invested in either the Texpool investment vehicle managed by the State Treasurer
or overnight sweep accounts established with banking institutions. The
benchmark is the average three month Treasury Bill yield.
B) Intermediate Term - 90 days to one year
United States Treasury and Agency securities, United States Agency Discount
Notes are the primary investment vehicles. United States Treasury securities are
preferable because of their low risk and the ease with which they are traded. The
benchmark is 95 percent of the average one-year Treasury Bill yield.
C) Long Term - over one year
United States Treasury and Agency securities are the primary investment
vehicles. Normally, investments are laddered so that most principal is returned
over a five year period in increments sufficient to meet anticipated operating and
capital needs. The 30 Year Treasury Bond rate is the benchmark for long term
funds.
D) Maturity
The length of time for investments within this policy will vary according to fund
type and will be dependent on funding requirements. As a general rule, funds will
be invested for the time periods indicated:
Current Unrestricted and Restricted 2 days to one year
Funds
Plant Funds 3 months to 3 years
Delegation of Authority
The Vice President for Business Affairs (VPBA) of Stephen F. Austin State University is
responsible for investment management decisions and activities. The VPBA delegates the
day-to-day management of the investment activities to the Director of Financial Services.
The VPBA shall be ultimately responsible for all transactions undertaken and shall
establish a system of controls (Appendix A) to regulate the activities of officials and staff
involved in investment transactions.
The VPBA shall develop and maintain written administrative procedures and guidelines
for the operation of the investment program which are consistent with and part of this
Investment Policy (Appendix B).
The VPBA shall be designated as the University's investment officer and is responsible
for the duties outlined herein. The name and title of the investment officer shall be filed
with the Board of Regents. Changes of name and/or title must be filed with the Board of
P23
Regents as they occur.
The maximum stated maturity date of any security may not exceed ten years, and the
weighted average duration of the portfolio shall not exceed five years without approval
by the VPBA and ratification by the Board of Regents. Decisions requiring security
purchases with stated maturity in excess of five (5) yoars will require approval of the
VPBA and ratification by the Board of Regonts.-
No officer or designee may engage in an investment transaction except as provided under
terms of this policy as approved by the Stephen F. Austin State University Board of
Regents.
Prudence
The "prudent person" standard will be used in the investment function and shall be
applied in the context of individual transactions as well as management of the overall
portfolio.
Accordingly, all investments shall be made with judgment and care, under circumstances
then prevailing, which persons of prudence, discretion, and intelligence exercise in the
management of their own affairs, not for speculation, but for investment, considering the
probable safety of their capital as well as the expected income to be derived.
Internal Controls
Stephen F. Austin State University has established a system of written internal controls
designed to prevent loss of public funds due to fraud, employee error, misrepresentation
by third parties, unanticipated market changes, or imprudent actions by employees of the
University. These controls are shown in Appendix A of this Investment Policy. These
controls are subject to the review of and recommendations from the University's
Department of Audit Services office.
Investment Authority
The VPBA shall invest only those funds regulated by this policy and shall purchase only
those securities authorized by the Authorized Investments section of this policy.
Authorized Financial Dealers and Institutions
Investment transactions (bids and offers) will occur only between the University and
Board authorized broker/dealers.
A written copy of the investment policy shall be presented to any person offering to
engage in an investment transaction with Stephen F. Austin State University. The
qualified representative of the business organization offering to engage in an investment
transaction with Stephen F. Austin State University shall execute a written instrument
substantially to the effect that the business organization has (a) received and reviewed the
investment policy of the University and (b) acknowledges that the business organization
has implemented reasonable procedures and controls in an effort to preclude investment
transactions conducted between the University and the organization that are not
P24
authorized by Stephen F. Austin State University's investment policy.
Securities may not be bought from any organization whose representative has not
provided the University with the acknowledgment required in the above paragraph.
Diversification
Investments may be diversified to minimize the risk of loss resulting from unauthorized
concentration of assets in a specific maturity, specific issuer, or specific class of
securities. The diversification limits by security type and issuer shall be:
Category Maximum
U. S. Treasury securities and securities having 100%
principal and interest guaranteed by the U. S.
Government
U. S. Government agencies, instrumentalities and 50%
government sponsored enterprises (excluding
mortgage backed securities)
Collateral mortgage backed securities 25% 0
Fully insured or collateralized certificates of 100%
deposit
Bankers' acceptances 25%
Commercial paper 25%
Repurchase agreements 100%
Registered money market funds 80%
Local Government Investment Pool 100%
The VPBA and his or her designee may diversify investment maturity. To the extent
possible, investment maturity will be matched with anticipated cash flow requirements.
Matching maturity and cash flow requirements will minimize occasions for sale of
securities prior to maturity, thereby reducing market risk. However, no provision of this
policy shall be interpreted as prohibiting the sale of any security prior to maturity,
provided that it is in the University's financial interest to effect the sale.
The weighted average maturity of the entire portfolio shall be maintained at no more than
10 years and shall be reported quarterly to the Board of Regents. Pooled fund groups
eligible for University investment shall have a maximum weighted average maturity of
10 years.
Safekeeping and Collateralization
All securities transactions, including collateral for repurchase agreements, but excluding
P25
mutual funds and investment pools, must be settled on a delivery versus payment basis.
Collateral for certificates of deposit shall be held by a third party custodian in the name of
the University. The third party custodian shall be required to issue a safekeeping receipt
to the University listing the specific instrument, rate, maturity, safekeeping receipt
number, and other pertinent information. Any collateral safekeeping receipt shall be
clearly marked on its face that the security is "pledged to Stephen F. Austin State
University".
Collateralization shall be required on certificates of deposit and repurchase agreements.
The collateralization level shall be no less than 100% of the market value of the principal
and interest due on these instruments.
Collateral for certificates of deposit and repurchase agreements shall consist of any of the
securities authorized for investment within this policy.
Performance Evaluation
The VPBA shall submit quarterly reports to the Board of Regents through its Finance
Committee and the President of the University in the format prescribed by the Public
Funds Investment Act, within a reasonable time after the end of the quarter.
The reports must:
(A) describe in detail the investment position of the University on the date of
the report;
(B) be prepared by the investment officer(s) of the University;
(C) be signed by the investment officer(s) of the University;
(D) contain a summary statement prepared in compliance with generally
accepted accounting principles of each pooled fund group that states the:
(1) beginning market value for the reporting period;
(2) additions and changes to the market value during the period;
(3) ending market value for the period; and
(4) fully accrued interest for the reporting period;
(E) state the book value and market value of each separately invested asset at
the beginning and end of the reporting period by the type of asset and fund type
invested;
(F) state the maturity date of each separately invested asset that has a maturity
date;
(G) state the account or fund or pooled group fund for which each individual
investment was acquired; and
P26
(H) state the compliance of the investment portfolio of the University as it
relates to the relevant provisions of the Public Funds Investment Act.
Training
The VPBA and Director of Financial Services are required by Section 2256.007(a) of the
Government Code to attend at least one session of investment training not later than
March 1, 1996, and, as appropriate, periodically thereafter.
The University's Department of Audit Services office shall conduct annual compliance
audits of management controls on investments and adherence to the University's
investment policy and report the results to the President and VPBA and the State
Auditor's Office. In addition, the Department of Audit Services shall annually review the
quarterly investment reports, and report the result of the review to the governing body.
Investment Policy Adoption and Certification
Upon adoption by the Stephen F. Austin State University Board of Regents, the
University s investment policy shall be reviewed annually to ensure current applicability
and significant modifications thereto submitted to the Board of Regents for approval.
Source of Authority: Board of Regents, Stephen F. Austin State University
Cross Reference: None
Contact for Revision: Vice President for Business Affairs
Forms: None
P27
APPENDIX A
INTERNAL CONTROLS
The University has prepared an Investment Policy as of April 12, 1996. The policy was
approved by the Board of Regents April 30, 1996.
The Investment Policy will be reviewed and/or updated no less than annually.
All pledged securities shall be held by a third party custodian in the name of the
University. A safekeeping receipt will be issued to the University listing the specific
instrument, rate , maturity, safekeeping receipt number, and other relevant information.
The signature of the President, VPBA, or Director of Financial Services is required for
release of pledged securities from safekeeping unless the securities being released are
replaced by securities with the same market value. Only changes in the level of
collateralization require approval by the above.
The Controller's Office will reconcile the appropriate investment accounts to broker's
statements and other supporting documents monthly.
All purchases of securities from and deposits of funds to or withdrawals of funds from
Texpool require the signature of the VPBA, and either the Director of Financial Services
or the Controller.
P28
APPENDIX B
ADMINISTRATIVE PROCEDURES
The Bursar's Office will maintain a daily list of cash balances held in depository bank
accounts.
All investment transactions and related cash transfer requests, except for investment
"rollovers" as defined, will be prepared by the Director of Financial Services and will
require an appropriate second signature.
"Rollovers" are investment transactions whereby an investment of certain type held by an
entity matures and the proceeds are then used to purchase an investment of the same type
within the same account within the same entity.
The Controller's Office will record investments in compliance with GASB and State
Comptroller's reporting requirements and reconcile the appropriate investment accounts
to broker s statements and other supporting documents monthly.
Quarterly investment reports are prepared by the Director of Financial Services and
approved by the Vice President of Business Affairs in accordance with the Performance
Evaluation section of this investment policy.
The market price of securities will be monitored quarterly using industry published data
or appropriate financial publications.
P29
Travel C-49
Original Implementation: October 31, 2000
Last Revision: October 23, 2001 July 25, 2002
Applicability
Unless otherwise stated, T/his policy applies to employees and prospective employees
traveling in a University capacity except members of the Board of Regents and the
President, who are exempt, and intercollegiate athletics. All policies, rules, and
regulations related to travel on behalf of, or in connection with, intercollegiate athletics
are included in the current issue of the Intercollegiate Athletics Policy Manual.
The travel regulations contained in this policy apply to all University funds. The
reimbursement limits established by this policy may be exceeded only if funds are
available in, and the additional costs are charged to, a discretionary account controlled by
the budget manager authorizing the additional expenditure. For this policy, discretionary
funds shall be defined as specified accounts established for the sole purpose of
discretionary use.
General Travel Regulations
Generally, the State of Texas Travel Allowance Guide is the authoritative document
regarding travel rules and regulations. The Guide is located in the Controller s Office
and at http://www.sfasu.edu/controller/travindex.html. In case of conflict between the
Guide and this policy, this policy takes precedence.
Employees, and others traveling on behalf of the University, are not reimbursed on a flat
per diem basis. Instead, they are reimbursed for actual meal and lodging expenses,
subject to the provisions of this policy.
The applicable account manager may limit or prohibit reimbursement of any travel
expenditure provided the traveler is notified in advance.
Travel Request
Except as stated in the Applicability section of this policy, anyone traveling on University
business must obtain permission in advance of the trip. A Travel Request form (available
from University Printing Services and at http://www.sfasu.edu/controller/travindex.htmn
must be submitted and approved at all applicable levels, as indicated on the form,
whether or not expenses will be incurred. All expenses to be paid or reimbursed by the
University are to be reflected on the Travel Request, regardless of whether they are to be
prepaid. A Travel Request is not required for prospective employees.
The Controller s Office uses the Travel Request to encumber funds against the
appropriate account(s). The Travel Request will be approved by the Controller s Office
only when account balances are sufficient to cover the total estimated cost of the trip.
P30
Travel to Washington, D.C
Before traveling to Washington, D. C, an employee shall inform the Texas Office of
State-Federal Relations about the timing and purpose of the trip, and provide the office
with the name of a person who may be contacted for additional information about the
trip. A completed form, Report for State Agency Travel to Washington, D. C. (available
at http://www.sfasu.edu/controller/travindex.htmn. will meet this requirement.
Foreign Travel
Official University business travel to any foreign country other than Canada or Mexico
requires advance written approval from the Chair of the Board of Regents. The traveler
must submit a Travel Request through the appropriate administrative channels to the
President, who will forward the request to the Board Chair. To be considered for
approval, foreign travel must be directly related to the University s mission and must
require a duty that cannot be performed without the travel.
A completed Travel Request form (available from University Printing Services and at
http://www.sfasu.edu/controller/travindex.html) must be routed through the appropriate
administrative channels in sufficient time to be approved by the Board Chair prior to the
date of departure.
Charge Card for Travel Expenses
A Bank of America individual corporate charge card is available for eligible employees
who wish to charge travel expenses. In order to apply, the employee must take, or expect
to take, three (3) or more business trips per fiscal year, or expend at least $500 per fiscal
year for official State business. An employee is not required to accept a State-issued
charge card.
The State-issued Bank of America individual corporate charge card is to be used for
business-related charges only while traveling on official State business. Use of the card
for personal business is considered a violation of State policy and the employee may be
subject to disciplinary action. The individual whose name appears on the card is solely
responsible for payment of the account. If the card is suspended or cancelled for misuse
or nonpayment, the employee will be ineligible for travel advances from the University.
If the application is approved by Bank of America, the employee agrees to be bound by
the Corporate Card and Commercial Card Cardmember Agreement which will be sent
with each card. Additionally, the employee agrees to be bound by the State policies
governing the use of the Card. Applications and further information concerning this
program are available in the Controller s Office or at
http://www.sfasu.edu/controller/travindex.html. The application must be signed by the
employee, the employee s supervisor, and the travel manager in the Controller s Office.
Advance Travel Funds
Advance travel funds are available for employees who wish to obtain money in advance
of the trip. These funds may be requested on the Travel Request form (available from
University Printing Services and at http://www.sfasu.edu/controHer/travindex.html) for:
P31
(1) employees ineligible for the Bank of America individual corporate charge card, (2)
group travel, (3) airline and hotel reservations that must be paid well in advance of the
travel date, or (4) travel with particularly unusual circumstances (reason must be
specified on the Travel Request form). The minimum amount of advance funds that can
be obtained is $100.
The Travel Request should be received by the Controller s Office at least five (5)
working days prior to departure. Generally, the requested funds will be available at the
University Business Office at least one working day prior to departure. Advance travel
funds will be issued by a check made payable to the individual requesting the funds. As a
condition of receiving advance travel funds, the employee agrees to refund any excess
(amount advanced less documented eligible expenditures on the Travel Voucher) within
30 days from the ending date of the trip.
An advance travel check will only be issued prior to the trip. No advancement is
authorized if the trip has already occurred. The traveler should submit a Travel Voucher
for reimbursement subsequent to the trip.
Travel Voucher (Travel Expense Documentation and Reimbursement)
In order to receive reimbursement, travel expenditures must be documented on a Travel
Voucher (available from University Printing Services and at
http://www.sfasu.edu/controller/travindex.html) signed by the traveler and the account
manager. The Travel Voucher must reflect the total actual reimbursable expenses of the
trip, regardless of whether advance travel funds were received. Receipts are required
for most travel expenses (see applicable section of this policy for specific details),
except meals. In the case of meal expenses for group travel, the sponsor/advisor
must provide documentation of how the funds were expended. The sponsor/advisor
should contact the travel manager in the Controller s Office in advance of the trip for
instructions.
The Travel Voucher should be submitted, with receipts attached, to the Controller s
Office within 30 days from the ending date of the trip. No reimbursements will be
made and all encumbrances will be cancelled 30 days after the end of the fiscal year.
The State of Texas Travel Allowance Guide can be useful in the completion of Travel
Vouchers. It provides comprehensive information on travel procedures and the proper
classification of travel related expenditures. A current copy of the Guide is available in
the Controller's Office or athttp://www.sfasu.edu/controller/travindex.html.
Foreign Currency Conversion
All amounts listed on the Travel Voucher must be converted to U.S. dollars using the rate
applicable on the date of the expenditure. A foreign currency conversion table is
available at http://www.sfasu.edu/controller/travindex.html. Documentation of the
conversion calculation must be attached to the Travel Voucher.
P32
Reimbursement Rates — Lodging
Reimbursement may not exceed the amount of lodging expenses actually incurred at a
commercial lodging establishment, subject to maximum allowances stated below. The
original itemized lodging receipt, attached to the Travel Voucher, is required.
The State Travel Management Program of the General Services Commission has
contracted with several commercial lodging establishments for special rates. The
contracted vendors and rates are listed in the Texas State Travel Directory, which is
distributed to each department. Employees are encouraged to utilize the contracted
vendors when possible.
In-State
Travelers may be reimbursed for the actual cost of lodging, not to exceed eighty dollars
($80) per day. Additionally, they may be reimbursed for local taxes on the allowable
lodging cost. State tax on in-state lodging will not be reimbursed to State employees.
Instead, State employees must submit a completed Texas Hotel Occupancy Tax
Exemption Certificate (available from University Printing Services and at
http://www.sfasu.edu/controller/travindex.htmD to commercial lodging establishments at
check-in. Employees should also be prepared to show proof of State employment.
Out-of-State
The maximum reimbursement rates for out-of-state lodging are provided by the Texas
State Comptroller. A list of the rates, which is updated from time to time, is available at
http://www.sfasu.edu/controller/travindex.html. Within the continental United States,
lodging reimbursement is limited to the locality-based allowance as stated on the list. For
cities and counties not included on the list, the allowance is the median rate established in
that state for lodging. Applicable taxes on the allowable lodging costs may also be
reimbursed. Travelers to Alaska, Hawaii, or a foreign country may be reimbursed for
actual, reasonable costs.
If the actual cost of lodging exceeds a locality's lodging allowance, an employee may
reduce the maximum meal reimbursement rate for that locality and use the reduction to
increase the lodging reimbursement rate for that locality. No such adjustment can be
made to increase the maximum meal reimbursement rate.
Shared Lodging
When two or more employees share lodging, each employee must pay and claim their
prorated share of the cost. The University will reimburse each employee his share of the
lodging expense, not to exceed the applicable maximum lodging reimbursement rate. A
list of names of those sharing the same room should be attached to each Travel Voucher.
P33
If only one of the individuals sharing lodging is an employee, then the amount that the
employee may be reimbursed for lodging expenses is the lesser of the single occupancy
room rate or the maximum lodging reimbursement rate.
Reimbursement Rates — Meals
This section of the Travel policy is inapplicable to Road Bus Drivers. Normally, Road
Bus Drivers are not reimbursed for meals. Any reimbursement of meal expenditures by
Road Bus Drivers is subject to the discretion and approval of the Director of the Physical
Plant.
Employees may be reimbursed for meal expenditures while away from campus if the
travel requires them to be at least 25 miles from the University for at least six (6)
consecutive hours during the calendar day. Meals are reimbursed at the lower of actual
cost or the following meal allowances:
IN-STATE *OUT-OF-STATE
Breakfast $ 5 16.7% of locality-based allowance
Lunch $ 10 33.3% of locality-based allowance
Dinner $ 15 50% of locality-based allowance
Total $30
• Within the continental United States, meal reimbursement is limited to the locality-based
allowance (list available at http://www.sfasu.edu/controller/travindex.html)
provided by the Texas State Comptroller. For cities and counties not included on the list,
the allowance is the median rate established in that state for meals. Travelers to Alaska,
Hawaii, or a foreign country may be reimbursed for actual, reasonable costs.
The following timetable indicates which meals are reimbursable:
Breakfast Travel includes 8:00 a.m. or before
Lunch Travel includes 11:30 a.m. — 1:30 p.m.
Dinner Travel includes 6:00 p.m. and after
Actual meal expenses without overnight stay are reimbursable, not to exceed the in-state
rates listed above, regardless of the travel location. Internal Revenue Service rules
(Publication 463) state you cannot deduct the cost of meals if it is not necessary for you
to stop for sleep or rest to properly perform your duties. Therefore, all reimbursement
for meals without overnight stay is taxable to the employee. The reimbursement will
be paid monthly in the employee s regular payroll check, and taxes will be withheld.
Additional guidelines for meal reimbursement:
• Some registration fees include meals. In this case, the registration fee is fully
reimbursable but no additional amount can be claimed for the included meals.
• Meals purchased for the traveler by another person are not reimbursable.
• In the case of employees traveling together, each must pay and claim their own
expenses.
P34
• Tips, gratuities, and alcoholic beverages are not reimbursable.
• Meal receipts are not required. In the case of meal expenses for group travel, the
sponsor/advisor must provide documentation of how the funds were expended. The
sponsor/advisor should contact the travel manager in the Controller s Office in
advance of the trip for instructions.
Reimbursement Rates - Mileage
The number of reimbursable miles traveled by an employee may not exceed the number
of miles of the most cost-effective route. The shortest route between points, including the
use of all farm-to-market roads, is presumed to be the most cost-effective route. The
Texas Comptroller of Public Accounts Mileage Guide (available at
http://www.sfasu.edu/controller/travindex.html) calculates the mileage between two
locations. When both locations are in the Mileage Guide database, the employee may be
reimbursed for either the number of miles (1) calculated by the Mileage Guide or (2)
calculated from the employee s odometer. When one or both locations are not in the
Mileage Guide database, the number of reimbursable miles is calculated from the
employee s odometer. Mileage determined by use of the employee s odometer must be
itemized on a point-to-point basis on the Travel Voucher. Any vicinity mileage at the
destination location must also be itemized separately on a point-to-point basis. For the
purposes of this paragraph, point means a building, house, highway intersection, or
other similarly-localized spot.
The reimbursement rate for use of an employee's personal vehicle is established by the
State legislature. That rate is specified in the State of Texas Travel Allowance Guide
(available in the Controller's Office or athttp://www.sfasu.edu/controller/travindex.htmn
or as updated by the Texas State Comptroller.
Four-Per-Car-Rule
Coordination of travel must occur when two, three, or four employees travel on the same
dates with the same itinerary to conduct the same official State business. When
coordination of travel is required, only one employee may be reimbursed for mileage.
Reimbursement Rates - When Representing the University President
If the President is unable to attend a meeting or conference, the President may designate,
on an individual trip basis, one employee as a representative to travel. Under this
provision, the employee is reimbursed for actual expenses, not to exceed twice the
maximum allowance rates for lodging and meals specified by this policy. The Travel
Voucher must be accompanied by the original designating document from the President.
Receipts are required as specified in this policy.
Registration Fees
The registration fee for attendance at a professional meeting is reimbursable if the fee
was approved on the Travel Request. The fee must be shown as a miscellaneous expense
on the Travel Voucher, with the original receipt attached.
P35
Attendance at in-town conferences does not require a Travel Request. Employees may be
reimbursed for in-town registration fees by submitting a completed Travel Voucher, as
they would for any other travel reimbursement. The description should indicate that the
conference was in Nacogdoches.
Some registration fees include meals. In this case, the registration fee is fully
reimbursable but no additiona

Click tabs to swap between content that is broken into logical sections.

This item may be protected under Title 17 of the U.S. Copyright Law. It is available for non-commercial research and education. For permission to publish or reproduce, please contact the East Texas Research Center at asketrc@sfasu.edu

Transcript

Stephen F. Austin
State University
Minutes of the
Board of Regents
Nacogdoches, Texas
July 25, 2002
Volume 183
TABLE OF CONTENTS
July 25, 2002
Page
02-25 Approval of April 30, 2002 Minutes 1
02-26 Consent Agenda Items:
Faculty and Staff Appointments for 2002-2003 1
Changes of Status 3
Retirements 6
Holiday Schedule for 2002-2003 6
Selection of EFL Associates as Search Firm for Vice President for
Academic Affairs and Dean for College of Education 6
02-27 Consent Agenda Items
Underenrolled Classes...: 7
Last Class Day Report 7
Revised Requirements for Academic Excellence Scholarship Program 7
Intercollegiate Athletic Policy and Procedure Manual 8
Approval to Forward Master of Arts in Music Education to
Coordinating Board 8
Approval to forward Master of Arts in Accompanying to
Coordinating Board 8
Honorary Degree for Bo Pilgrim 8
02-28 Consent Agenda Items
Adoption of Fiscal Year 2003 Budget 8
Authority to Allocate Salary Equity Money for Faculty and Staff. 8
Resolution Authorizing a Request for Financing for Pressbox
Renovations and Accessibility Modifications 8
Marketing Contract Renewal with Kolar Advertising 8
Certificates of Resolution Authorizing Deposit Accounts and
Related Services : 9
Roofing Projects for Coliseum and Kennedy Auditorium 9
Telecommunications Switch Purchase 9
East College Cafeteria Dishwashing Machine 9
02-29 University Center Renovation/Expansion Feasibility Study 9
02-30 Policy Revisions 9
Reports 10
A. Faculty Senate
1. Introduction of 2002-2003 Senate officers
2. Summary of 2001-2002 Senate activities
a. Policies reviewed and recommended by the Senate
b. Resolutions and reports
3. Intellectual property rights policy
4. Salary equity
5. Shared governance
6. Priorities for 2002-2003 Senate
B. Student Government Association
1. Purple Haze
a. Orientation
b. The Craze
2. Voter Registration
3. Support of Student Center Renovation
C. Director of Information Technology Services and Director of Audit Services
1. Information Technology Security
D. Kolar Advertising - Marketing Report
E. President
1. Legislative Agenda
2. Future Commencement Speakers
3. Update on Broiler Houses (Major Event in October)
4. Commencement, August 10, 2002
5. Meet the Lumberjacks, August 20, 2002
6. State-of-the-University Address, August 22, 2002
7. Campus Picnic to Kick off the Academic Year, August 23, 2002
8. First Football Game Against Portland State University, August 31, 2002
9. Inauguration of Dr. Nancy Dickey, September 12, 2002
10. Parents Day, September 14, 2002
11. Homecoming, October 18 & 19, 2002
12. Answer Questions from Members of the Board of Regents
Appendix No. 1 - Master of Arts in Music Education 11
Appendix No. 2 - Master of Music in Accompanying 20
Appendix No. 3 - HEAF Allocation 2002-03 26
Appendix No. 4 - Resolution Authorizing a Request for Financing 27
Appendix No. 5 - Budget Changes 29
Appendix No. 6 - Policy Revisions 30
NEW Acceptable Use of Information Resources PI
A-6 Educator Preparation P5
A-24 Laboratory Fees P6
A-52 Awarding Academic Credit for Noncollegiate Sponsored
Instruction P7
A-60 File Maintenance for Faculty Personnel Files Pll
C-16.5 Historically Underutilized Businesses P13
C-28 Interagency and Interlocal Contracts P17
C-41 Investments P19
C-49 Travel P30
D-24 Parking Rules and Regulations P40
D-27 Radioactive or Radiation Producing Materials or
Equipment P57
D-34.1 Conduct Code P60
D-42 Digital Millennium Policy P65
D-44 Student Media P69
E-18 Employee Terminations and Transfers P72
F-14 Student Organization Formation and Recognition P73
MINUTES OF THE MEETING
BOARD OF REGENTS
STEPHEN F. AUSTIN STATE UNIVERSITY
NACOGDOCHES, TEXAS
JULY 25, 2002
The meeting was called to order at 9:00 a.m. by Chair Mike Enoch. Board members
present in Room 307: Penny Butler, Margarita de la Garza Grahm, Kenneth James, Mike
Enoch, Susan Roberds, Lyn Stevens, Mike Wilhite and Fred Wulf. Absent: Gary Lopez.
Others present in Board Room 307: Tito Guerrero, Jerry Holbert, Miles McCall, Baker
Pattillo, Roland Smith, Marlin Young, Yvette Clark, and other SFA administrators, staff,
and visitors.
Executive Session was announced at 9:10; returned to Open Session at 10:37.
02-25
Upon motion of Regent Roberds, seconded by Regent Butler, with all members voting
aye, it was ordered that the minutes of the April 30, 2002 meeting be approved.
02-26
Upon motion of Regent Wilhite, seconded by Regent Butler, with all members voting aye,
it was ordered that the following consent items be approved:
■ Faculty and Staff Appointments for 2002-2003
1. President
Dr. Tito Guerrero's contract was extended for 1 year, at a salary of $187,090. A
deferred compensation plan of $10,590 is to be established, with the distribution
date to be July 1, 2005 only if he remains employed as president for that
designated period. (IRS code Section 457F of the IRS code of 1986 as amended,
and as permitted under article 6228a-5 section 3 of Vernon's Texas Civil Statutes
with requisite review by the ERS.)
2. Academic Advising
Ms. Rose Marie Alexander, Academic Advisor, B.A. (Stephen F. Austin) at a
salary of $25,000 for 100% time for 12 months, effective April 22, 2002.
Ms. Vickie Poe, Academic Advisor, B.A. (Southwest Texas State University) at a
salary of $25,000 for 100% time for 12 months, effective April 22, 2002.
3. Admissions
Ms. Ashley Bravenec, Admissions Counselor, B.A. (Stephen F. Austin) at a
salary of $23,200 for 100% time for 12 months, effective June 17, 2002.
4. Agriculture
Mr. Edgar Oviedo-Rondon, Assistant Professor, M.S. (State University of
Maringa-Brazil), at a salary of $41,000 for 100% time for nine months, effective
September 1, 2002.
5. Biology
Dr. James K. Langford, Assistant Professor, Ph.D. (Medical College of
Wisconsin), at a salary of $38,000 for 100% time for nine months, effective
September 1, 2002.
6. Communication
Mr. Robert T. Spradley, Lecturer, M.A. (Stephen F. Austin), at a salary of
$3,666 for 100% time for SSII-2002, effective July 16, 2002.
7. Criminal Justice
Dr. Jeffrey S. Magers, Assistant Professor, Ed.D. (Spalding University), at a
salary of $43,000 for 100% time for nine months, effective September 1, 2002.
8. English
Dr. Barbara Nykiel-Herbert, Visiting Assistant Professor, (Adam Mickiewicz
University — Poland), at a salary of $34,000 for 100% time for nine months,
effective September 1, 2002.
9. Forestry
Mr. Terry A. Corbett, Research Technician, B.S. (Stephen F. Austin State
University), at a salary of $30,000 for 100% time for nine months, effective
September 1, 2002.
10. History
Mr. Andrew J. Morris, Assistant Professor, M.A. (University of Virginia), at a
salary of $36,000 for 100% time for nine months, effective September 1, 2002.
11. Management, Marketing, International Business
Dr. Philip E. Stetz, Assistant Professor, Ph.D. (Texas Tech University), at a
salary of $63,000 for 100% time for nine months, effective September 1, 2002.
12. Mathematics and Statistics
Ms. Jacqueline R. Goforth, Assistant Professor, B.A. (Trinity University), at a
salary of $42,000 for 100% time for nine months, effective September 1, 2002.
13. Modern Languages
Dr. Joyce Johnston, Assistant Professor, Ph.D. (Indiana University-
Bloomington), at a salary of $36,000 for 100% time for nine months, effective
September 1,2002.
14. Music
Dr. John T. Gates, Assistant Professor, D.M. (Florida State University), at a
salary of $39,000 for 100% time for nine months, effective September 1, 2002.
15. Nursing
Ms. Janice S. Hensarling, Clinical Instructor, M.S.N. (University of Texas
Medical Branch at Galveston), at a salary of $40,000 for 100% time for nine
months, effective September 1, 2002.
16. Political Science and Geography
Dr. James D. Lowry, Assistant Professor, Ph.D. (University of Arizona), at a
salary of $36,000 for 100% time for nine months, effective September 1, 2002.
17. Psychology
Mr. Bryan K. Saville, Assistant Professor, M.S. (St. Cloud State University), at a
salary of $36,000 for 100% time for nine months, effective September 1, 2002.
Ms. Tracy E. Zinn, Assistant Professor, M.S. (Auburn University), at a salary of
$36,000 for 100% time for nine months, effective September 1, 2002.
18. Controller's Office
Ms. Rose D. Brown, Manager, at a salary of $36,400 for 100% time for 12
months, effective May 20, 2002.
19. Information Technology Systems
Mr. Kyle Kettler, Programmer/Analyst I, at a salary of $27,000 for 100% time for
twelve months, effective May 20, 2002.
■ Changes of Status
1. Academic Affairs
Dr. Marlin C. Young, from Professor and Dean of the College of Business at a
salary of $110,454 for 100% time for twelve months, to Professor and Interim
Vice President for Academic Affairs at a salary of $116,000 for 100% time for
twelve months, effective June 1, 2002.
2. Accounting
Dr. Jack R. Ethridge, from Department Chair and Professor at a salary of $90,409
for 100% time for eleven months, to Professor at salary of $76,190 for 100% time
for nine months, effective September 1, 2002.
Dr. Treba A. Marsh, from Associate Professor at a salary of $65,791 for 100%
time for nine months, to Interim Department Chair at a salary of $83,411 for
100% time for eleven months, effective September 1, 2002.
3. Admissions
Mr. Gabe Aguirre, Admissions Counselor at a salary of $23,200 for 100% time
for twelve months, to Admissions Regional Recruiter at a salary of $26,744 for
100% time for twelve months.
4. Art
Dr. David A. Lewis, Associate Professor at a salary of $47,526 for 100% time for
nine months, to Associate Professor and Interim Department Chair at a salary of
$69,000 for 100% time for twelve months effective July 15, 2002.
5. Dean of Business
Dr. Violet A. Rogers, Professor and Associate Dean at a salary of $93,769 for
100% time for eleven months, to Professor and Interim Dean at a salary of
$107,296 for 100% time for twelve months effective September 1, 2002.
6. Dean of Education
Dr. Patsy Hallman, from VME status at a salary of $35,736 for 46.75% time for
three years effective September 1, 2002, to Professor and Dean at a salary of
$101,920 for 100% time for twelve months effective September 1, 2002.
Dr. Melanie B. Jephson, Associate Professor and Interim Associate Dean at a
salary of $70,388 for 100% time for twelve months, to Associate Professor and
Associate Dean at a salary of $90,000 for 100% time for twelve months effective
September 1,2002.
7. Elementary Education
Ms. Lysa Gaston, from Instructor at a salary of $41,000 for 100% time for 9
months, to NISD Charter School Director and Instructor at a salary of $49,972 for
100% time for 12 months, effective September 1, 2002.
8. English
Dr. Barbara Carr, from Professor and Associate Chair at a salary of $63,265 for
100% time for twelve months, to Professor and Interim Chair at a salary of
$78,918 for 100% time for eleven months effective September 1, 2002.
Dr. Molly E. Smith, from Chair and Professor at a salary of $76,920 for 100%
time for eleven months, to Professor at a salary of $55,646 for 100% time for nine
months, effective September 1, 2002
Mr. David Whitescarver, from VME status at a salary of $20,433 for 46.75% time
for three years effective September 1, 2002, to Assistant Professor at a salary of
$43,706 for 100% time for nine months effective September 1, 2002.
9. Management/Marketing/International Business
Mr. Robert M. Crocker, from Visiting Assistant Professor at a salary of $50,000
for 100% time for nine months, to Assistant Professor at a salary of $57,000 for
100% time for nine months, effective September 1, 2002.
10. Modern Languages
Mr. Alejandro Sanchez-Aizcorbe, from Visiting Instructor at a salary of $31,750
for 100% time for nine months, to Instructor at a salary of $32,500 for 100% time
for nine months.
Ms. Flora Valencia, from Visiting Instructor at a salary of $31,750 for 100% time
for nine months, to Instructor at a salary of $32,500 for 100% time for nine
months.
11. Social Work
Ms. Becky Price-Mayo, from Senior Information Specialist at a salary of $16,380
for 50% time for five months, to Senior Information Specialist at a salary of
$32,760 for 100% time for twelve months, effective June 1, 2002.
12. Athletics
Ms. Brandi Daily, from Restricted Women's Basketball Coach, at a salary of
$8,000 for 50% time for nine months, to Assistant Women's Basketball Coach and
Instructor, at a salary of $43,000 for 100% time for 10.5 months, effective July
15,2002.
Mr. Alexander Gibby, from Restricted Track and Field Coach and Coordinator, at
a salary of $20,450 for 100% time for nine months, to Assistant Track and Field
Coach, at a salary of $21,000 for 100% time for 10.5 months, effective September
1,2002.
Ms. Loree McCary, from Assistant Athletic Trainer, at a salary of $38,331 for
100% time for 10.5 months, to Assistant Athletic Trainer, at a salary of $43,807
for 100% time for twelve months, effective September 1, 2002.
13. Disability Services
Ms. Tiffany Rivers, from Administrative Assistant, at a salary of $20,240 for
100% time for twelve months, to Coordinator of Disability Services, at a salary of
$34,000 for 100% time for twelve months, effective April 15, 2002.
14. Student Affairs
Mr. Charles Hueber, from Graduate Student, at a salary of $720 per month for
50% time, to Program Coordinator, at a salary of $26,000 for 100% time for
twelve months, effective July 15, 2002.
15. Chemistry
Dr. Wayne Boring, from Professor and Chair at a salary of $80,510 for 100% time
for eleven months, to Professor and Hazardous Materials Officer at a salary of
$67,851 for 100% time for nine months effective September 1, 2002.
Dr. John T. Moore, from Professor at a salary of $49,000 for 100% time for nine
months, to Professor and Interim Chair at a salary of $64,889 for 100% time for
eleven months effective September 1, 2002.
16. University Advancement
Mr. Adrian C. Matthys, from Telemarketing Program Supervisor at a salary of
$26,200 for 100 time for twelve months, to Assistant Director of Development at
a salary of $27,200 for 100% time twelve months, effective June 3, 2002.
■ Retirements
1. Academic Affairs
Dr. Janelle C. Ashley, Vice President for Academic Affairs, effective May 31,
2002.
2. Biology
Dr. Byron VanDover, Associate Professor, effective December 31, 2002.
3. Kinesiology
Dr. Carolyn Mitchell, Professor, effective August 31, 2002.
4. Registrar
Mr. Dennis Jones, Registrar, effective August 31, 2002.
5. Secondary Education
Dr. Buster Duke Brannen, Professor, effective April 1, 2002.
■ Holiday Schedule for 2002-2003
Fifteen holidays are allowed by the State for 2002-2003. The following schedule
will allow SFA to be closed for Labor Day, 2 days at Thanksgiving, 5 working
days at Christmas, New Year's Day, 5 working days at Spring Break, Memorial
Day and July 4th, which totals sixteen days. Employees are be required to take
one day of vacation or compensatory time on Friday, March 14.
2002-2003 Holidays
■ Selection of Search Firm
Following President Guerrero's recommendation, EFL Associates was approved to
conduct searches for the Vice President for Academic Affairs and the Dean of the College
of Education, at a cost not to exceed $65,000 plus expenses. Dr. Guerrero was authorized
to sign the contract.
02-27
Upon motion of Regent Wilhite, seconded by Regent Wulf, with all members voting aye,
it was ordered that the following consent items be approved:
m Underenrolled Classes
The Summer I 2002 Underenrolled Class List was approved and the Chair of the
Board was authorized to sign the official report for Summer II2002 when the data
is available.
1. AGR 480.013 — Topics in Agriculture
Enrolled: 4
Taught as overload course
2. HRT 326.001 — Design Application Software II
Enrolled: 9
Maintain sequence; senior enrolled
3. HRT 326L.020 — Design Application Software II Lab
Enrolled: 9
Maintain sequence; senior enrolled
4. ENG 099.001 — Developmental English
Enrolled: 9
Mandatory course for students failing TASP
5. GOL 364.001 — Field Geology
Enrolled: 6
Graduating senior enrolled in this course
6. NUR 303.001 — Nursing Theory, Process and Skills
Enrolled: 6
Maintain proper sequence
7. NUR 303.010 — Nursing Theory, Process and Skills Lab
Enrolled: 6
Maintain proper sequence
■ Last Class Day Report
Last Class Day Report for Spring semester, 2002 was approved as presented.
■ Revised Requirements for Academic Excellence Scholarship Program
1. Eligible students are those who rank in the top 10% of their graduating class or
rank in the top quartile of their graduating class and earned a minimum score of
1100 on the SAT or 24 on the ACT.
2. The scholarship was increased to $2,000 per academic year.
3. Scholarship is renewable for a four-year period, provided the student
completes 24 semester hours per academic year with an earned gpa of 3.25 or
higher.
7
■ Intercollegiate Athletic Policy and Procedure Manual
. Revisions to the Athletic Policy and Procedure Manual were approved as
presented.
■ Approval to forward Master of Arts in Music Education to Coordinating
Board
Approval was given to forward the proposal for a Master of Arts in Music
Education to the Texas Higher Education Coordinating Board.
■ Approval to forward Master of Music in Accompanying to Coordinating
Board
Approval was given to forward the proposal for a Master of Music in
Accompanying to the Texas Higher Education Coordinating Board.
■ Consideration of Honorary Degree
Approval was given to present an Honorary Doctorate in Philosophy to Mr.
Lonnie "Bo" Pilgrim during the August 10 commencement.
02-28
Upon motion of Regent de la Garza-Grahm, seconded by Regent Stevens, with all
members voting aye, it was ordered that the following consent items be approved:
■ Adoption of the Fiscal Year 2003 Budget
The 2002-2003 fiscal year operating budget totaling $148,688,481 was approved.
The budget includes a $3 per semester credit hour increase in Designated Tuition
and a 1% increase in room and board. It also includes a 3% merit pool for faculty
and the greater of a $65 per month or 3% increase for non faculty employees. The
budget also includes insurance renewal and D&O coverage to be purchased
through the State Office of Risk Management. The detailed HEAF allocation is
included in Appendix No. 3.
■ Authority to Allocate Salary Equity Money for Faculty and Staff
The President was authorized to allocate $650,000 that is set aside in the fiscal
year 2003 budget, for salary equity adjustments for faculty, non classified and
classified staff.
■ Resolution Authorizing a Request for Financing for Pressbox
Renovations and Accessibility Modifications
The Resolution Authorizing a Request for Financing (Appendix No. 4) was
approved, and the President and staff were authorized to proceed with the
financing transaction as directed by the Texas Public Finance Authority.
■ Marketing Contract Renewal
The President was authorized to renew and sign the Kolar Advertising contract at
a cost not to exceed $400,000 at his discretion.
8
■ Certificates of Resolution Authorizing Deposit Accounts and Related
Services
The Board of Regents adopted resolutions from Regions Bank related to the
Stephen F. Austin Operating Fund and the Stephen F. Austin State University
Special Investment Account; from First Bank & Trust East Texas for the Stephen
F. Austin State University Account; and from BancorpSouth for the Stephen F.
Austin State University Account and authorized signatures of Mr. Michael W.
Enoch, Chairman, Board of Regents of Stephen F. Austin State University, and
Mrs. Penny Butler, Secretary, Board of Regents of Stephen F. Austin State
University, as required on the accompanying resolutions.
■ Roofing Projects
The University was authorized to contract with PRC Roofing to coat the roofs of
the William R. Johnson Coliseum and Kennedy Auditorium and the President was
authorized to sign the necessary contracts and purchase orders. The cost is not to
exceed $120,000 including a contingency allowance, architect/engineer fees, and
project administration. Cost will be allocated between auxiliary and HEAF funds
based on the square footage of each roof.
■ Telecommunications Switch Purchase
Purchase of the Cisco 6509 telecommunications switch through the State contract
was approved, at a cost not to exceed $129,600, less trade-in. Source of funds is
2002 HEAF.
■ East College Cafeteria Dishwashing Machine
Replacement of the dishwashing machine in East College Cafeteria was approved,
at a cost not to exceed $100,000, and the President was authorized to sign the
necessary purchase orders.
02-29
Upon motion of Regent Wilhite, seconded by Regent Wulf, with all members voting aye,
it was ordered that the University be authorized to conduct a feasibility study of a
renovation/expansion of the University Center, at a cost not to exceed $35,000. The
President shall appoint a feasibility committee to conduct the study with representation
from the students and end users to determine space and programmatic needs in
consultation with the architects. A report of the results will be presented to the Board at
its October 17, 2002 meeting.
02-30
Upon motion of Regent Wulf, seconded by Regent de la Garza-Grahm, with all members
voting aye, it was ordered that the Policy revisions be approved, including modifications
to the Investments Policy which were presented at the meeting.
Vffl. REPORTS
A. Faculty Senate
1. Introduction of 2002-2003 Senate officers
2. Summary of 2001 -2002 Senate activities
a. Policies reviewed and recommended by the Senate
b. Resolutions and reports
3. Intellectual property rights policy
4. Salary equity
5. Shared governance
6. Priorities for 2002-2003 Senate
B. Student Government Association
1. Purple Haze
a. Orientation
b. The Craze
2. Voter Registration
3. Support of Student Center Renovation
C. Director of Information Technology Services and Director of Audit Services
1. Information Technology Security
D. Kolar Advertising
1. Update on marketing program
E. President
1. Legislative Agenda
2. Future Commencement Speakers
3. Update on Broiler Houses (Major Event in October)
4. Commencement, August 10, 2002
5. Meet the Lumberjacks, August 20, 2002
6. State-of-the-University Address, August 22, 2002
7. Campus Picnic to Kick off the Academic Year, August 23, 2002
8. First Football Game Against Portland State University, August 31, 2002
9. Inauguration of Dr. Nancy Dickey, September 12, 2002
10. Parents Day, September 14, 2002
11. Homecoming, October 18 & 19, 2002
12. Answer Questions from Members of the Board of Regents
Meeting adjourned at 2:20 p.m.
10
Appendix No. 1
Nonsubstantive Degree Program Proposal
NAME OF INSTITUTION Stephen F. Austin State University
NAME OF PROPOSED PROGRAM Master of Arts in Music Education. Elementarv/General
Music Track
Display how proposed program would appear on the Coordinating Board program
inventory; include the Texas CIP code designation.
Music-Music Education (MA)
13.1312.10.03
How would name of program appear on student diplomas?
Master of Arts in Music Education
How would name of program appear on student transcripts?
Master of Arts in Music Education
Administrative unit(s) responsible for the program:
Graduate School: College of Fine Arts: Department of Music
Proposed date for implementation of program: Fall, 2002
Person to be contacted for further information about proposed program:
Name: Dr. Ronald E. Anderson Title: Chair, Department of Music
Phone: (936) 468-4602 Fax: (936) 468-5810
Signatures:
Campus Chief Executive Officer Date
System Chief Executive Officer Date
Governing Board approval date:
11
I. Reason for the Request
A. Provide rationale for the request.
The Master of Arts in Music Education program currently has two tracks: an
instrumental track and a choral track. At this time there is no specific program track
for those interested in elementary/general music education. The department's goal is
to meet the educational needs of practicing music specialists in the elementary schools
and those interested in general music pedagogy. Our current programs do not offer
the depth or breadth of study needed to address the specific pedagogical needs of
elementary/general music specialists.
Additionally, this program was developed to address a specific concern cited in the
department's NASM review. The review team specifically encouraged the department
to broaden its graduate programs to find ways in which to increase enrollment. This
program addresses that concern. Because there are many more elementary/general
music specialists than choral and/or instrumental music specialists, we are confident
that enrollment in this new graduate program will increase once this program track is
approved.
B. Include any historical or other documentation to support request.
Many universities offer an elementary/general music specialist track in their graduate
programs. Simply adding the suggested track may not increase graduate enrollment.
From the beginning discussions about this new program track, however, the
department has planned to develop and offer many of the courses via distance learning.
Distance learning courses and programs are more common in other disciplines. To
date there are few on-line music education programs in the country and none in the
state of Texas. If approved, SFA will offer the first on-line Master of Arts in Music
Education program in the state.
The department believes this program track will flourish for the following reasons.
First, the majority of East Texans live in rural communities. Relatively remote from
major universities, individuals wishing and/or required to continue their formal
education must travel great distances to achieve this goaL Many individuals forgo
advanced academic training because of the hardship of travel. This is especially true of
graduate students, many of whom are holding down fiill-time jobs. While we are
focusing on professional educators within East Texas, the same travel issue could be
said of those living anywhere outside the I-35/I-45 corridors. Distance learning makes
sense, especially in a state as large as Texas. Without the burden of traveling to and
from a university, students can concentrate on synchronous as well as asynchronous
modes of class interaction.
Second, the state no longer issues "lifetime" certificates. Professional educators must
continue their academic training in order to retain their certification in Texas. Very
12
shortly, all universities will see an increase in graduate enrollment. However, one of
the concerns of practicing professionals is balancing family obligations, work
obligations, and education obligations. Practicing professionals do not have the luxury
of large amounts of time to devote to traditional "face-to-face" masters programs.
While time is available to concentrate on academic obligations, those times may be at
midnight or four in the morning, not the best times to hold a traditional class lecture.
Distance learning is a viable alternative to traditional 'lace-to-face" masters programs.
Third, a distance-learning program will benefit children. The first benefit is from
having a specialist who is continuing to learn and grow as a professional. Students
enrolled in this program will have the opportunity to read, study, and discuss the latest
theory and pedagogy in music education. A second benefit for children is from having
a specialist that uses the latest technology to continue her/his education. Many
educators believe that distance education may well be the preferred method of
instruction in the near future. This new distance-learning program will equip music
specialists with the skills needed to thrive in this new learning environment. These
skills will inevitably be transferred to children as their specialists implement similar
distance learning techniques in their own classrooms. Essentially, children will learn
by example (Le., vicarious learning).
II. Program Description
A. Provide a description of the program
The Master of Arts in Music Education, Music Education Track is specifically
designed for those individuals who wish to continue their study of elementary/general
music methods and theory. Specifically, the program is intended for practicing music
specialists in the public/private schools. The program offers an introduction to
research methods and music psychology as a foundation to further study of best
practices in elementary/general music education and related fields. Throughout the
program students will have opportunities for reflection, discussion, and
implementation of theories into their classrooms.
Course Outline:
1. Music Education Specialization: Semester Hours
a. MUE 540 (Music Research Seminar) 3
b. MUE 541 (Psychology of Music) 3
c. MUE 542 (Foundations in Music Education) 3
d. MUP 543 (Current Trends in Music Education) 3
Total 12
13
2. Music Core:
a. MTC 526 (Stylistic Analysis) 3
b. MHL 531 (Music Bibliography) 3
c. Six hours from: 6_
1) MHL 521 (Music of the Baroque Era)
2) MHL 522 (Music of the Classical Era)
3) MHL 523 (Music of the Romantic Era)
4) MHL 524 (Music of the Twentieth Century)
5) MHL 525 (Music in America)
Total 12
3. Music Electives (6 hours for thesis students; 12 hours for non-thesis
students).
a. MUE 544 (Reflective Practitioner) 3
b. MUP 545 (Music in Early Childhood) 3
c. MUP 546 (Technology in the Music Classroom) 3
d. MUE 547 (Professional/Clinical Project 3
e. Summer Workshop Training 1-3
4. Thesis Courses (thesis students only - 6 hours)
a. MUS 589 (Thesis Research) 3
b. MUS 590 (Thesis Writing) 3
III. Relationship to Existing Authorized Programs
A. Demonstrate the relationship between the proposed program and existing
programs.
This specific track of the Master of Arts in Music Education program is based on the
same core requirements for all other Master programs (12 hours), with one exception.
14
Because this program is designed for individuals who may not be able to travel to
SFASU during the school year, they will be required to complete three (3) music
history courses instead of two (2). For this program students are not required to
participate in applied lessons or ensemble performances.
The other differences are related to the existing music education tracks and the music
specialization core (12 hours). Both the instrumental and choral tracks require
students to complete MUE 540 (Music Research Seminar) and MUE 541 (Psychology
of Music); these are required of the new program track- also. In addition, the new
track requires MUE 542 (Foundations in Music Education) and MUE 543 (Current
Trends in Music Education).
Because of the anticipated enrollment for this program, the department will offer four
courses that can be used in the music electives block of courses (12 hours). Students
may also wish to take summer study at another university and transfer 6 hours into the
program- As with all other degrees, a thesis can be written in lieu of six (6) hours of
academic course study.
B. Describe how the proposed program would affect existing programs, including
the potential effects on enrollment (needfor additional faculty, resources, etc.)
The proposed program interfaces well with the existing Master of Arts degree tracks
in the vocal and instrumental areas. The new track, however, is designed to fulfill the
needs of two entirely different groups: elementary music and general music
specialists. Many of the courses including the core subjects can easily absorb the
addition of several more students.
At this time, we do not anticipate the need for additional faculty. Some reassignment
will be made with existing staff to cover undergraduate courses currently being
covered by the coordinator of the new program- If the program is successful in
addressing needs within the state and meets the department's expectations, staflBng will
need to be reassessed in the future.
IV. Expected Enrollment
A. Estimate the cumulative headcount and full time equivalent (FTE) enrollment
for each of the first five (5) years (majors only, considering expected attrition
and graduation) and indicate the number of expected to be new to the
institution each year.
Year One: FTE: 3 students; new students: 2
Year Two: FTE: 5 students, new students 3
Year Three: FTE 8 students, new 6
Year Four: FTE 9 students, new 4
Year Five: FTE 11 students, new 8
15
A. Explain assumptions used in making these estimates.
Potentially, this program will draw students from across the state, not necessarily East
Texas. The department is confident that anyone who lives in a rural area and wishes
to continue her/his professional music education will directly benefit from this
program. This same argument could be said of anyone in the nation. The potential for
success is great. With proper marketing, this particular track should flourish.
V. Resources
A. Provide descriptions of courses that have been implemented and new courses
needed.
The Department plans to offer at least 75% of the credit hours needed to complete the
proposed program track via distance learning (i.e., Internet). Currently the
department offers nine (9) hours of the program track through distance learning. By
the Spring of 2003 an additional eighteen (18) hours will be developed and available
on-line. It is our hope that shortly thereafter, all 36 hours will be available on-line.
1. List and describe courses implemented within the last three (3)
years that would be included in the new program curriculum.
a. MUE 540 (Music Research Seminar)
Music Research Seminar is an introduction to research
in music education. Emphasis is placed on analysis of
empirical research modalities and procedures for
testing and measuring musical behaviors. The thrust
of the course is to understand statistical results and
their implications for improving classroom instruction.
b. MUE 541 (Psychology of Music)
Psychology of Music is an introductory course to the
theory and research of how people learn musical
knowledge and skills, and how these manifest
themselves in musical behaviors. Essentially, the
course answers the following question: How can we
maximize the effectiveness of music instruction?
Emphasis is placed on analysis of research related to
understanding musical behaviors and improving music
instruction based upon quantitative and qualitative
research. The thrust of the course is to improve
classroom instruction through critical analysis of
research in music education and closely related
disciplines (e.g., cognitive psychology, motor learning,
etc.).
16
2. List and describe new courses not yet implemented for the
program.
Each of the following courses has been approved by the
Coordinating Board, but has not, as yet, been taught.
a. MUE 542 (Foundations in Music Education)
Introduction to the history of music education,
musical aesthetics, and philosophy of music
educatioa
b. MUE 543 (Current Trends in Music Education)
A critical analysis on evaluation of various pedagogical
trends in music education. Emphasis is placed on
evaluation of various music education curricula
c. MUE 544 (Reflective Practitioner)
Intended for those individuals who are currently
employed as music specialists. Emphasis is placed on
application of current pedagogical theory through
critical thought and reflective practice.
d. MUE 545 (Music in Early Childhood)
Review and application of research, methods, and
materials for teaching music to preschool children.
Emphasis is placed on examining developmentally
appropriate and child-centered practices applied to
music.
e. MUE 546 (Technology in the Music Classroom)
Course provides students with skills to successfully
implement and utilize current music technology in the
classroom. Emphasis is placed on hands-on
experiences with technology to meet students'
individual needs.
f MUE 547 (Professional/Clinical Project)
Original, professional, or clinical/classroom
demonstration project resulting in a written paper
suitable for presentation or publication at a
professional meeting or in a professional journal.
17
B. Describe faculty resources and faculty requirements, if any.
1. List current faculty members, etc.
Ronald Anderson, Professor of Music, Ph.D., University of Iowa, MHL 531
(Music Bibliography); appointed 1970
Charles Gavin, Professor of Music, D.M.A., University of Iowa, MHL 523
(Music of the Romantic Era); appointed 1984
Stephen Lias, Assistant Professor of Music, D.M.A., Louisiana State
University, MTC 526 (Stylistic Analysis); appointed 2000
Robert Mann, Professor of Music, D.M.A., University of North Texas, MHL
521-525; appointed 1966
Mark E. Turner, Assistant Professor of Music, D.M.A., University of
Houston, MUE 540 (Music Research Seminar), MUE 541 (Psychology of
Music), MUE 542 (Foundations in Music Education), MUE 543 (Current
Trends in Music Education), and elective courses (taught only as needed);
appointed in 1998
2. If current faculty would be teaching new courses, how would their
teaching assignments change, etc.
Mark E. Turner would teach the majority of the new courses. Currently, he
teaches two sections of a music methods course for undergraduate
non-majors. The responsibility for teaching non-majors will be assumed by a
graduate assistant and a lecturer in music. This will allow him to teach two
graduate classes each semester. Courses in the "music core" are currently
part of various instructors' teaching load. Class size will allow for the
addition of several new students before requiring more than one section.
Therefore, at this time, the department will not need to hire additional faculty
to deliver the new program track.
3. List all new positions, etc.
None at this time.
C. Describe status of equipment with regard to this request.
I. Itemize expenditures during each of the last three (3) years for
equipment and supplies specifically for the proposed program.
Because this program will be delivered via distance learning, there are no
18
capital outlay purchases anticipated.
D. Describe status of facilities with regard to this request. Etc.
Most of the program will be delivered as distance learning courses. The facilities on
campus are more than adequate to support any courses taken on campus.
E. Provide library staffs assessment of library resources necessary for the proposed
program, if applicable.
The library staff believes that there are sufficient on-line resources to support the
proposed music program- Currently all of the music indexes, the New Groves
Dictionary of Music, Ask Eric, and 42 journals (fiill text) are available on line.
Distance learning students may request and use Interlibrary Loan and the university's
document delivery service. The reference librarian is adding electronic journals,
monthly. In many cases, they do not exist in music. The library will acquire on-line
music research journals as they become available. It should be noted that many music
research resources are available through most Internet search engines. Again, the
department believes that our current on-line holdings are adequate for our
distance-learning program- Moreover, students who are not close to Nacogdoches
can also access other state university and public libraries at their own locations in the
state through the TexShare program.
19
Appendix No. 2
Nonsubstantive Degree Program Proposal
NAME OF INSTITUTION Stephen F. Austin State University
NAME OF PROPOSED PROGRAM Master of Music in Accompanying
Display how proposed program would appear on the Coordinating Board program
inventory; include the Texas CIP code designation.
Music-Accompanying (MM)
50.0903.55.03
How would name of program appear on student diplomas?
Master of Music in Accompanying
How would name of program appear on student transcripts?
Master of Music in Accompanying
Administrative unit(s) responsible for the program:
Graduate School: College of Fine Arts: Department of Music
Proposed date for implementation of program: Fall. 2002
Person to be contacted for further information about proposed program:
Name: Dr. Ronald E. Anderson Title: Chair. Department of Music
Phone: (936) 468-4602 Fax: (936) 468-5810
Signatures:
Campus Chief Executive Officer Date
System Chief Executive Officer Date
Governing Board approval date:
20
NONSUBSTANTIVE PROGRAM REQUEST
MASTER OF MUSIC IN ACCOMPANYING
I. REASON FOR REQUEST
A. Rationale for request
This is a request to add a new track in piano accompanying to the Master of Music degree
programs already in place at Stephen F. Austin State University in performance and conducting.
Over the past fifty years, piano accompanying has emerged as an art form recognized as requiring
significant training in the techniques of piano accompanying, foreign language skills (for vocal
accompanying), and the extensive knowledge of vocal and instrumental repertoire.
During the last two decades, more and more institutions of higher education in the United States
have recognized accompanying as an important career option for pianists, and consequently they are
offering courses and degrees in accompanying to help pianists become competent collaborators and qualified
teachers of accompanying.
The piano division in the music department at Stephen F. Austin State University recognizes
accompanying as an important part of a pianist's training. Presently, we offer courses in accompanying to
undergraduate and graduate pianists. The proposed master's degree in piano accompanying will attract
experienced pianists to our university, strengthen our undergraduate and graduate programs, and will
provide additional accompanists to support the growing number of instrumentalists and vocalists in the
music department.
Similar programs are available only at Baylor University and the University of Houston. Because
of the severe limitation of positions available for concert pianists in the market today, accompanying is a
very viable job option for students and may be combined with the other main area, teaching. At SFA, for
example, the keyboard teaching staff consists of 1 and 1/2 FTE. The accompanying staff consist of 2 FTE.
21
H. PROGRAM DESCRIPTION
A. Objectives. This degree program is designed to prepare piano students for performing
careers as collaborators with vocalists and instrumentalists, and to begin preparing them for teaching
careers as instructors of piano accompanying. It includes additional technical keyboard study, literature
studies in both the vocal and instrumental areas, and substantial practical experience in collaborative
performance. Students also complete the music core required of all master's candidates in the Department.
Six hours of electives allow students to strengthen specific areas of interest or improve areas of weakness.
B. Curriculum requirement: 36 semester hour minimum. An entrance audition is required.
Transfer credits will be accepted. The major goal of this program is to help students become excellent
performers. The degree format outlined below follows the guidelines of the National Association of Schools
of Music for a Master of Music degree in accompanying. These guidelines require a minimum of 30 hours
at the graduate level.
MAJOR AREA
1. ACCOMPANYING
MUP519
MUP519
MUP519
MUP561
MUP562
MUP539
MUP509
Applied Piano (2-2) (1st year)
Applied Accompanying (2-2) (1st year)
Applied Accompanying (2-2) (2nd year)
Survey of Vocal Literature
Survey of Instrumental Literature
Chamber Music Practicum
Applied Harpsichord
Total
Sem. Hours
4
4
4
2
2
1
L
18
22
2. CORE REQUIREMENTS
MTC 526 Stylistic Analysis 3
MHL531 Bibliography 3
MHL 521-525 History 4
Total 10
3. PERFORMANCE TRACK
MUS572 "Professional Development (l-l) 2
*Serve as accompanist for two of the following ensembles
listed below:
MUP 595 Recitals (2) [ Instrumental, 1 Vocal] 0
Total 2
4. ELECTTVES (minimum 6 total credit hours)
MUP 509 or 519 Applied Organ 1 -2
MUP 519 Applied Piano 2
MUP 539 Chamber Music Practicum 1
MUP 456 Choral Conducting Seminar 3
MUP 457 Instrumental Conducting 3
MUS 575 Advanced Graduate Studies 1-3
5. Foreign language Requirement:
1) Must have passed the equivalent of two semesters of college level study in
French, German, or Italian.
2) Diction proficiency in French, German, and Italian is a prerequisite for admission
into the program. Students who do not meet this requirement must enroll in the
appropriate diction classes as part of their remedial course work.
6. Thesis: none
23
ffl. RELATIONSHIP TO EXISTING AUTHORIZED PROGRAMS
A. The proposed program will follow the curriculum of the recently approved Master of
Music degree program in performance, but will require these additional courses: MUP
561, and MUP 562. Both are being requested during the current academic year.
B. Approval of the proposed program for a Master of Music degree in piano accompanying
will strengthen the existing piano performance graduate program in three ways:
1) It will broaden the career options for students presently in the graduate keyboard
program.
2) It will strengthen the SFA music program in other areas (instrumental, vocal) by
providing student musicians with a larger pool of accompanists and additional
coaching in ensemble performance.
3) It will provide a new enticement for students to enroll in the graduate program at
SFA.
IV. EXPECTED ENROLLMENT
The department of music at SFA has increased its enrollment from 204 in 1996 to 278 in 2001.
Presently, there are two graduate students in piano. The Department expects a gradually increasing number
of students, from 2 to 5, to enroll in the program every year over the next 6 years. Ideal recruitment goals
would best be reached with significantly increased funding for graduate assistantships, however. The
estimate is based on a reflection of past history and the fact that only two other schools in the state offer a
Master of Music degree program in Accompanying.
V. RESOURCES
A. New courses needed for the program: MUP 561 (Survey of Vocal Literature) and MUP
562 (Survey of Instrumental Literature). Both will focus on the main core of literature in
each field as they relate to technical, collaborative, and performance practice
considerations for the accompanist.
B. Faculty resources and faculty requirement: present faculty are adequate for the program.
1. Dr. Ronald Petti (D.M.A. in Accompanying), Director of Accompanying,
appointed in 1998; coordinator of program and one of main teachers.
2. Dr. Andrew Parr (D.M.A. in Piano Performance), Coordinator of Keyboard area,
appointed in 1983; main teacher of technical studies.
3. Dr. James Pitts (D.M.A. in Piano Performance), Staff Accompanist, appointed in
1999; assisting with literature studies.
24
Current faculty would teach the new courses, but released accompanying duties would be
then covered by new students in the program who would compensate with specific their
accompanying assignments. All of the core classes can absorb the new students in
established classes.
C. Status of equipment: the department needs to acquire a two-manual harpsichord. This has
been authorized in the current year capital budget. The Department did spend $250,000
about three years ago for new keyboards in equipping the new Music Building. This
included purchase of a new 9' grand and a 7 grand. In addition, the Department
purchased a Disklavier Grand that can record accompaniments.
D. Status of facilities: sufficient, following the opening of the new Music Building in 1998.
E. Status of library resources: adequate at present. The accompanying still will be working
with library staff to add scores and CDfs of needed works as budgets will allow.
25
Appendix No. 3
Stephen F. Austin State University
HEAF Allocation
for Fiscal Year 2002-03
26
Appendix No. 4
RESOLUTION AUTHORIZING A REQUEST FOR FINANCING
Homer Bryce Stadium Pressbox and Accessibility
WHEREAS, the Texas Public Finance Authority (the "Authority") has the exclusive
authority to act on behalf of Stephen F. Austin State University (the "University") in the
issuance of bonds pursuant to Tex. Rev. Civ. Stat, art. 601d as amended; and
WHEREAS, the University has been authorized to acquire, purchase, construct, improve,
renovate, enlarge, or equip property, buildings, structures, facilities, roads or related
infrastructure to be financed by the issuance of bonds or other authorized financing
mechanism pursuant to Texas Education Code 55.17 in the aggregate principal amount
not to exceed $2,600,000; and
WHEREAS, the Board of Regents of Stephen F. Austin State University (the "Board of
Regents") now desires to approve and authorize financing to enable the University to
acquire, purchase, construct, improve, renovate, enlarge, or equip property, buildings,
structures, facilities, roads or related infrastructures, and authorizes the President of the
University (the "President") or designees to submit requests for financing to the
Authority from time to time to issue bonds or other authorized financing mechanism in an
aggregate amount not to exceed $2,600,000 to enable the University to acquire, purchase,
construct, improve, renovate, enlarge, or equip property, buildings, structures, facilities,
roads or related infrastructures and to take other actions related thereto.
THEREFORE, BE IT RESOLVED BY THE BOARD OF REGENTS OF STEPHEN F.
AUSTIN STATE UNIVERSITY THAT:
1) The University is duly authorized by law pursuant to Texas Education Code, Section
57.17 to acquire, purchase, construct, improve, renovate, enlarge, or equip property,
buildings, structures, facilities, roads or related infrastructures to be financed by the
issuance of bonds or other authorized financing mechanism in accordance with Texas
Education Code, Chapter 55, Subsection B in the aggregate amount not to exceed
$2,600,000;
2) Dr. Tito Guerrero, President, or his designee is hereby authorized and directed to
submit requests from time to time to the Authority to issue bonds or other authorized
financing mechanism in an aggregate amount not to exceed $2,600,000 in order that
the University may acquire, purchase, construct, improve, renovate, enlarge, or equip
property, buildings, structures, facilities, roads or related infrastructures as these
projects are specifically approved by the Board of Regents and further approved by
the Texas Higher Education Coordinating Board as may be required;
3) the President is hereby further authorized to approve, execute, and deliver or cause to
be delivered those documents and such other instruments including but not limited to
the financing documents required by the Authority's rules, and to take such other
27
projects are specifically approved by the Board of Regents and further approved by
the Texas Higher Education Coordinating Board as may be required; *-
3) the President is hereby further authorized to approve, execute, and deliver or cause to
be delivered those documents and such other instruments including but not limited to
the financing documents required by the Authority's rules, and to take such other
actions as are necessary and appropriate in connection with the issuance, sale, or
delivery of the bonds or other authorized financing mechanism;
4) due notice of the meeting and the subject matter of this Resolution was given as
required by law; and that a quorum of the Board of Regents was present at the
meeting at which this resolution was considered.
Adopted/Rejected by a vote of 8 yeas. 0 nays effective as of
July 25 , 2002.
Chairman, Board of Regents
Stephen F. Austin State University
Secretary, Board of Regents
Stephen F. Austin State University
28
Stephen F. Austin State University
Schedule of Budget Changes
April 12, 2002 to July 9, 2002
Appendix No. 5
ACTIVITY RECIPIENT INCOME SOURCE REF#
ACCOUNT NAME
Texas College Workstudy
RHA Executive Officer
Wellness Program
Student Government Discr.
Agriculture Judging Contest
Equine Studies
Cultural Entertainment
Music Computer Lab
Developmental Education
All Girl Cheerleader
Music Preparatory
University Interscholastic League
Texas National
Speech and Hearing Clinic
Secondary Education
Agriculture Development
OSA Graphics Shop
Cultural Entertainment
All Girl Cheerleader
Pom Squad Discretionary
Sociology Excellence
Health Career Camp
All Girl Cheerleader
Secondary Education
Printing Services
Jack Camp
Co-Ed Cheerleader Discr.
OSA Graphics Shop
TOTAL
ACCOUNT NUMBER
1-00205
4-91733
3-00450
5-91398
2-32005
4-91002
3-00480
2-03133
1-00201
5-91400
2-03129
2-35500
5-96231
2-32263
2-02300
5-91347
3-50690
3-00480
5-91400
5-91397
5-91731
4-31017
5-91400
2-02300
2-72909
2-51171
5-91399
3-50690
SOURCE DESCRIPTION
Additional Revenue
Additional Revenue
Additional Revenue
Additional Revenue
Additional Revenue
Additional Revenue
Additional Revenue
Additional Revenue
Additional Revenue
Additional Revenue
Additional Revenue
Additional Revenue
Additional Revenue
Additional Revenue
Additional Revenue
Additional Revenue
Additional Revenue
Additional Revenue
Additional Revenue
Additional Revenue
Additional Revenue
Additional Revenue
Additional Revenue
Additional Revenue
Additional Revenue
Additional Revenue
Additional Revenue
Additional Revenue
AMOUNT DATE
29
Policies for Board Review
July 25, 2002
Appendix No. 6
30
Acceptable Use of Information Resources NEW
Original Implementation: July 25, 2002
Last Revision: None
STATEMENT
Stephen F. Austin State University (SFASU) encourages the responsible use of its
information resources. The use of information resources is for SFASU academic
activities, research, and public service. Access to SFASU s information resources is,
however, a privilege. All users of information resources should act responsibly to
maintain the integrity of these resources. Furthermore, all users must abide by all existing
SFASU codes of conduct as well as by local, state, and federal statutes. SFASU reserves
the rights to limit, restrict, or extend privileges and access to its resources. SFASU s
information resources include, but are not limited to, computers, servers, networks,
computer-attached devices, network-attached devices, voice systems, cable systems, and
computer applications.
Appropriate use should always be legal and ethical, reflect academic honesty, uphold
community standards, and show restraint in the consumption of shared resources.
Appropriate use demonstrates respect for intellectual property, ownership of data, system
security mechanisms, and every individual's right to privacy and to freedom from
intimidation, harassment, and unwarranted annoyance.
RESPONSIBILITIES
• It is the responsibility of every person using SFASU s information resources to
protect the privacy of his/her account(s). Personal account information should not
be released to friends, relatives, roommates, etc. Users are responsible for the
security of their passwords. Passwords should be changed on a regular basis.
• Any person using SFASU information resources is prohibited from using a
computer account for which he/she is not authorized, or obtaining a password for
a computer account not assigned to him/her.
• The owner or designated assignee of a computer that is attached to the SFASU
network is responsible for both the security of the computer system and for any
intentional or unintentional activities from or to the network connections. The
owner or designated assignee is responsible for all network activity originating
from his/her equipment, regardless of who generates it.
• Any person operating a network-intensive application or a defective computer that
causes network overload will be notified, and steps will be taken to protect other
users and the overall SFASU network. This may include disconnecting the
offending computer system from the network until the problem is resolved. If the
condition is an imminent hazard to the SFASU network or disrupts the activities
of others, then the offending computer system or the subnet to which it is attached
may be disabled without notice. This latter course of action may affect other
users connected to the network. The operator of the offending computer system
will be expected to follow instructions from Networking staff for securing his/her
machine.
PI
• Any person using e-mail should not send excessive e-mail/attachments or
messages locally or over the network such as chain letters, advertisements, or
solicitations. The responsible use of e-mail will help prevent network congestion.
• The content of any files or services made available to others over the network is
the sole responsibility of the person with ownership of and/or administrative
authority over the computer providing the service. It is this person's responsibility
to be aware of all applicable federal and state laws, as well as SFASU policies.
This person will be liable for any violations of these laws and policies.
• It is the responsibility of every person using SFASU s information resources to
refrain from engaging in any act that may seriously compromise, damage, or
disrupt the operation of computers, terminals, peripherals, or networks. This
includes, but is not limited to, tampering with components of a local area network
(LAN) or the backbone, blocking communication lines, interfering with the
operational readiness of a computer, creating/operating unsanctioned servers or
personal web or FTP sites, or delivering streaming audio, video, high bandwidth
gaming, or high bandwidth video conferencing.
• All breaches of system security should be reported immediately to the
Networking department.
INFRACTIONS
Examples of infractions include, but are not limited to:
• Gaining or attempting to gain unauthorized access to information or resources that
are private or protected.
• Circumventing or attempting to circumvent data protection schemes or exploiting
security loopholes.
• Running programs that attempt to identify passwords, weaknesses in the
SFASU system, or other security codes.
• Attempting to monitor or tamper with another user's data communications or
network traffic, or reading, copying, changing, or deleting another user's files
or software without the explicit agreement of the owner.
• Knowingly running or installing on any computer system or network, or giving to
another user, a program intended to damage or to place an excessive load on a
computer system or network. This includes but is not limited to programs known
as computer viruses, Trojan horses, and worms.
• Masking or attempting to mask the identity of the account or computer. For
example, pointing a non-sfasu.edu domain name at a host within SFASU address
space.
• Knowingly performing an act that will interfere with the normal operation of
computers, terminals, peripherals, or networks.
• Sending chain letters, advertisements, or solicitations of any type. Sending mass
mailings to individuals who have not expressly agreed to be contacted in this
manner.
• Using IP addresses not specially assigned by Networking. Each member of the
network is allowed only one IP address and may connect only one computer to the
network at a time (with the exception of faculty and family housing).
• Using excessive Internet bandwidth.
P2
• Connecting NAT, DHCP or BOOTP servers to the network.
• Failing to comply with Networking instructions for configuring equipment or
repeatedly engaging in activities that generate complaints to Networking.
• Using SFASU computer resources for private business or commercial activities
(except where such activities are otherwise permitted or authorized), fundraising
or advertising on behalf of non-SFASU organizations, reselling of SFASU
computer resources to non-SFASU individuals or organizations, and unauthorized
use of SFASU s name.
• Allowing unauthorized access to SFASU computing resources to individuals not
affiliated with SFASU.
• Violating terms of applicable software licensing agreements or copyright laws.
• Possessing, using, or distributing any electronic data that is confidential under
SFASU policies, by electronic or any other means.
• Engaging in unlawful communications, including threats of violence, obscenity,
child pornography, and harassing communications (as defined by law).
• Attempting to alter any SFASU computing or networking components (including,
but not limited to, switches, routers, and hubs) without authorization or beyond
one' s level of authorization.
• Modifying SFASU wiring including, but not limited to, data, phone, and cable
TV.
• Creating or attempting to create unauthorized network connections or
unauthorized extensions, or re-transmitting any computer or network services.
• Permitting damage through negligence of SFASU electronic information,
computing and/or networking equipment and resources.
• Failing to comply with requests from appropriate SFASU officials to discontinue
activities that threaten the operation or integrity of computers, systems, networks,
or otherwise violate this policy.
PENALTIES
Misuse of computing, networking, or information resources may result in the loss of
computing privileges, as well as other disciplinary action.
PRIORITIES
When demand for computing resources may exceed available capacity, priorities for their
use will be established and enforced. The priorities for use of computing resources are:
Highest.Uses that directly support the educational, research, and service
missions of SFASU.
Medium: Other uses that indirectly benefit the education, research, and
service missions of SFASU, as well as reasonable and limited personal
communications.
Lowest: Recreation, including game playing and general browsing.
P3
Forbidden: All activities listed in the Infractions section of this policy, as
well as breaches of the Responsibilities section not specifically listed
under the Infractions section.
SFASU may enforce these priorities by restricting or limiting usages of lower priority in
circumstances where their demand and limitations of capacity impact or threaten to
impact usages of higher priority.
IMPLIED CONSENT & LIABILITY RELEASE
Each person with access to SFASU computing resources is responsible for their
appropriate use, and by their use agrees to comply with all applicable SFASU policies
and regulations, with applicable City, State, and Federal laws and regulations, and with
the acceptable use policies of affiliated networks and systems.
Each person requesting service from an SFASU Telecommunications and Networking
technician for equipment owned by a person or entity other than SFASU, must
acknowledge and accept the following liability release before the technician will be
permitted to provide the requested service:
By accepting technical support from the Telecommunications and Networking
staff, I expressly waive all claims against SFASU and its agents for any damages
to my computer system or data that are incidental to the technical support
rendered by Telecommunications and Networking. I understand that the technical
support I receive from Telecommunications and Networking may void
manufacturer warranties and I understand that Telecommunications and
Networking offers no verbal or written warrantyt either expressed or implied,
regarding the success of this technical support. I understand that I have the right
not to accept support from Telecommunications and Networking staff and to seek
technical assistance elsewhere.
Source of Authority: Vice President for Business Affairs
Cross Reference: None
Contact for Revision: Director of Information Technology Services
Forms: None
P4
Educator Preparation A-6
Original Implementation: September 1, 1987
Last Revision: April 20, 1999July 25, 2002
Since its establishment in 1923 as a teachers college, Stephen F. Austin State University
has played a leading role in preparing professional personnel for the public schools of
Texas. The preparation of highly competent teachers, principals, superintendents, and
other school personnel to staff the schools of the State continues to be a major function of
the University.
Educator preparation is a University-wide function governed by policies developed by
the Teacher Education Council. In developing and executing policies, the Council gives
due consideration to relevant State and Federal law, to University Policies and
Procedures, to recommendations from appropriate advisory committees, to guidelines of
the Texas Higher Education Coordinating Board, to rules of the State Board for Educator
Certification (SBEC), and to the program standards of the National Council for
Accreditation of Teacher Education (NCATE). Accreditation by SBEC and NCATE
assures program quality.
The Council review proposals for changes in teaching field programs and in professional
education programs to assure appropriate curricula. Also, it establishes criteria for
program admission and retention and for recommendation for educator certification or
licensing.
The Council is chaired by the Dean of the College of Education and is composed of
faculty members appointed by the Vice President for Academic Affairs from nominees
submitted by the Dean of Education after consultation with the deans of other colleges
offering the various teaching fields. Other members of the Council include the Associate
Dean of Education, who serves as Council Secretary, and two representatives of the
Texas Student Education Association appointed by its president.
Source of Authority: Texas Education Code, Title II, Sub Title D, Chapter 21,
Subchapter B, sec 21.044, President, Vice President for Academic Affairs
Cross Reference: General Bulletin, Graduate Bulletin
Contact for Revision: Vice President for Academic Affairs
Forms: None
P5
Laboratory Fees A-24
Original Implementation: June 29, 1981
Last Revision: April 19, 1999July 25, 2002
Laboratory fees shall be assessed in an amount sufficient to cover in general the cost of
laboratory materials and supplies used by a student.. A department or a school may
choose to average the costs over its total laboratory program and set an appropriate
uniform fee. The basic fee is $10. For those classes where it can clearly be demonstrated
that the value of expendable supplies is well beyond $10, a reasonable laboratory fee, not
to exceed $30 may be charged.
Laboratory fees will be recommended by the department Chair and approved by the Dean
of the College and the Vice President for Academic Affairs and published in the
appropriate bulletin of the University. Fees will be reviewed annually in conjunction with
the April meeting of the Board of Regents.
Source Of Authority: Board of Regents, President, Vice President for Academic Affairs
Cross Reference: Faculty Handbook
Contact For Revision: Vice President for Academic Affairs
Forms: None
P6
Awarding Academic Credit for Noncollegiate A-52
Sponsored Instruction
Original Implementation: October 26, 1999
Last Revision: NeaeJw/y 25, 2002
Role and Scope
The purpose of this policy statement is to provide an approved methodology and
procedures for students wishing to be awarded academic credit for extrainstitutional
learning experiences on the Bachelor of Applied Arts and Sciences degree. Further, this
policy provides a rationale for the credit awarded and definitions of the significant
elements of the process; it also establishes guidelines for developing the life-experience
portfolio, and provides a means for monitoring the policy.
Review
It is the responsibility of the Dean of Applied Arts and Sciences to review and implement
this policy.
Rationale
The awarding of academic credit for noncollegiate sponsored instruction is based on the
position that it is reasonable educational practice to grant academic credit for high quality
educational programs. This means of allowing credit is sound when these programs of
study and life experiences overseen by noncollegiate organizations are determined to be
at the college level. Further, to be awarded toward the baccalaureate degree the credit
must be appropriate to an individual s degree program. The experiences of educational
institutions who engage in this practice have shown that the awarding of credit for prior
learning often motivates students to enroll and complete the full academic degree
process, thus enriching their lives and career opportunities.
Definitions
B.A.A.S. Degree - The Bachelor of Applied Arts and Sciences Degree is designed to
offer students with vocational-technical training and work experience in a given
occupational field the opportunity to obtain a baccalaureate degree without the usual
significant loss of credits that occurs in pursuing a traditional degree. The degree is
designed to provide both academic and professional depth to individuals who possess
recognized competency in occupational or technical fields.
Noncollegiate Sponsored Instruction - A form of extrainstitutional learning sponsored by
non-accredited associations, business, industry, or military units to develop knowledge,
skills, and values.
P7
Extrainstitutional Learning - Any learning experience that accrues to the student outside
the sponsorship of an accredited institution of higher education.
Work/Life Experience - A form of noncollegiate sponsored learning that develops
knowledge, skills, and values as a result of sponsored experiences documented through
the occupational portfolio.
Occupational Portfolio - A compilation of pertinent documents and third party
verification that develops a history and basis for the levels of competency submitted for
evaluation. Documentation should focus on establishing that skill levels and occupational
competence are equivalent to college work.
Oversight and Authority
Stephen F. Austin State University was granted authority on July 16, 1974, by the Texas
Higher Education Coordinating Board to offer the Bachelor of Applied Arts and Sciences
Degree. The proposal submitted to and approved by the THECB for the Bachelor of
Applied Arts and Sciences Degree included in Section 1.0 the following special feature
which is the focus of this policy statement:
"Semester hour credit for experience and/or exhibited competency is permissible in both
Academic Foundations (up to 12 hours) and Academic Specialization (up to 24 hours).
An expanded innovative program of advising and counseling will be necessary to
administer the program."
Oversight for the degree and authority to administer the life-experience credit program
has been placed with the College of Applied Arts and Sciences. The Dean of the College
is charged with developing procedures for the implementation of all features of the
Bachelor of Applied Arts and Sciences Degree.
Procedure for Credit Awards
Credit for documented life-experience is awarded based on the principle that valid
learning experiences at the college/university level can occur outside of a direct higher
education environment. These learning experiences can be derived through various
extrainstitutional encounters such as continuing education, professional development
instruction, the process of licensure, in-service training, military training, and direct
supervision.
The evaluation of noncollegiate credit is dependent upon an examination process that is
designed to ascertain whether the life-experiences have been of the nature and extent that
they are equal to college level instruction. The measure of equivalency is determined at
three levels:
P8
a. The Curriculum of the Learning Experience
The course of study being reviewed will meet the standard of currency and
relevance. That is, it will be equivalent to a course of study that is included in the
curriculum of a contemporary institution of higher education.
b. The Qualifications of the Instructor
Instruction for the course must be delivered/supervised by an individual or
individuals whose credentials have been reviewed and accepted by duly
authorized peers or an appropriate sponsoring professional organization or
corporation.
The Evaluation of the Student
Each course of study receiving an award of credit must use a means of evaluating the
learner's progress that is appropriate to the subject matter and the manner of instruction.
The evaluation must be valid and documented.
All applications for credit through noncollegiate sponsored learning experiences must be
submitted by the student to his/her adviser at the time a degree plan is offered to the Dean
of Applied Arts and Sciences for approval. The request for credit must be submitted as an
occupational portfolio accompanied by all pertinent documentation. Should any credit be
awarded for noncollegiate sponsored instruction it will be applied only to the Bachelor of
Applied Arts and Sciences Degree.
The Dean of Applied Arts and Sciences will review all credit recommendations and make
a final determination as to the amount of credit to be awarded.
Credit awarded will be submitted to the Office of the Registrar on Form AAS-Ex for
posting on the student s transcript.
Appeals
Appeals of credit awards may be made in writing to the Academic Council of the College
of Applied Arts and Sciences for resolution. The Council may either affirm the decision
of the dean or make its own credit recommendation. In all cases the decision of the
Council will be final.
References
P9
Evaluation of the application for credit will be made using the :
Directorv of the National Program on Noncollegiate Sponsored Instruction
National Guide to Credit Recommendations for Noncollegiate courses
Guide to the Evaluation of Educational Experiences in the Armed Services
Aviation Education Review Organization College Credit Standards Guide
And other means and resource materials as appropriate and recognized.
Source of Authority: Vice President for Academic Affairs
Cross Reference: None
Contact for Revision: Dean of Applied Arts and Sciences
Forms: AAS-Ex
P10
File Maintenance for Faculty Personnel Files A-60
Original Implementation: October 31, 2000
Last Revision: October 23, 200Uuly 25, 2002
The Southern Association of Colleges and Schools requires that the university keep on
file for all full-time and part-time faculty members documentation of academic
preparation including official transcripts, and, if appropriate for demonstrating
competency, official documentation of professional and work experience, technical and
performance competency, records of publications, certifications and other qualifications.
To meet that requirement, the following guidelines have been established which address
the contents of the file as well as the designated place for maintaining the file.
Filed in Office of Vice President for Academic Affairs:
I. Tenured/Tenure Track Faculty: Professor, Associate Professor, Assistant
Professor, Instructor, Librarian I, II, III or IV 9 month, 100% time, tenure track
1) Personnel Action Request form (green copy)
2) Recommendation for Appointment form
3) Signed contract issued by VPAA office
4) Post-hire form
5) Curriculum Vita
6) Official transcripts from all degree granting institutions attended
7) Three letters of reference
II. Visiting (Rank), Lecturer, Librarian IT, II-T, III-T, or IV-T, Designated (full-time)
9 month, 100% time, non-tenure track
1) Personnel Action Request form (green copy)
2) Recommendation for Appointment form
3) Signed contract issued by VPAA office
4) Post-hire form
5) Curiculum Vita
6) Official transcripts from all degree granting institutions attended
7) Three letters of reference
Filed in Office of Dean:
I. Adjunct, Designated (part-time) 4.5 to 9 months, less than 100% time, non-tenure
track
1) Personnel Action Request form (blue copy)
2) Signed contract issued by Dean s office
3) Post-hire form
4) Curriculum Vita
Pll
5) Official transcripts from all degree granting institutions attended
6) Three letters of reference
II. Graduate Teaching Assistant (Domestic) Enrolled graduate student, 50% time or
less, non-tenure track
1) Personnel Action Request form (blue copy)
2) Signed contract issued by Graduate office
3) Post-hire form
4) Official transcripts from all degree granting institutions attended
5) Three letters of reference
Filed in Graduate Office:
I. Graduate Teaching Assistant (Inernational) - Enrolled graduate student, 50% time or
less, non-tenure track
1) Personnel Action Request form Qai&e-green copy)
2) Signed contract issued by Graduate office
3) Post-hire form
4) Official transcripts from all degree granting institutions attended
5) Three letters of reference
The above records must be maintained for five (5) years after personnel leave active
employment.
Note: See Policy E-1A, Academic Appointments and Titles, for definition of titles.
Source of Authority: Vice President for Academic Affairs
Cross Reference: Policy and Procedure Manual, Faculty Handbook
Contact for Revision: Vice President for Academic Affairs
Forms: None
P12
Historically Underutilized Businesses C-16.5
Original Implementation: August 2, 1994
Last Revision: October 23, 200XJuly 25, 2002
In accordance with Texas Government Code, Title 10, Subtitle D, Chapter 2161, and 1
Texas Administrative Code section 111.11 through 111.28, Stephen F. Austin State
University will make a good faith effort to utilize Historically Underutilized Businesses
(HUBs) in contracts for construction, services, including professional and consulting
services and commodities contracts. The Texas Building and Procurement Commission
(TBPC) HUB Rules, 1 TAG 111.11-111.28 encourages the use of HUBs by
implementing these policies through race-ethnic-and gender-neutral means.
The Director of Purchasing and Inventory shall serve as the official HUB Coordinator.
The purpose of the HUB Program is to promote full and equal business opportunities for
all businesses in State contracting in accordance with the goals specified in the State of
Texas Disparity Study.
GOALS
GOAL #1
The University's specific goals have been adjusted to eliminate "overutilized" HUBs
identified in the State of Texas Disparity Study and are as follows.
A. Best value procurement opportunities over $5,000, but less than $25,000 require at
least three informal bids, including half from certified HUB vendors.
B. Best value procurement opportunities over $25,000 require at least five formal bids,
including half from certified HUB vendors.
C. Formal best value procurement opportunities will be posted to the Purchasing
Department web site.
D. Best value procurement opportunities exceeding $25,000 will be posted to the Texas
Marketplace.
P13
E. Best value procurement opportunities $100,000 and greater will require a HUB
Subcontracting Plan (HSP) to be submitted as a required by 1 TAC Section 111.14. See
Goal #3.
GOAL #2
The University will pursue various forms of outreach to identify certified and non-certified
HUB vendors with which to develop a business relationship. Vendors will be
advised of and/or assisted with the State's certification process.
A. The University Purchasing Department will host a vendor fair at which vendors across
the state will be invited to participate. Vendors will be provided with information
regarding how to do business with the University, as well as information about the HUB
certification process, and other state rules and guidelines. The University campus, other
state agencies, ISD's, and city and county governments will be invited to attend and make
procurement opportunities available.
B. The HUB Coordinator and/or Purchasing Department buyers will attend and
participate in other economic opportunity forums in the Houston, Dallas and Austin
Metroplexes and East Texas.
C. The University Purchasing Department will utilize the HUB directory provided by the
TBPC on-line when selecting potential suppliers and subcontractors for commodities,
services, and construction contracts.
D. The HUB Coordinator will analyze expenditures after each reporting period and
produce a mail piece to target various groups, i.e. specific service vendors, vendors by
city or county, vendors by dollar amount, etc., and notify them of the State s HUB
certification process if the HUB Coordinator determines that a mail piece would be
beneficial.
E. The University Purchasing Department will send a mail piece to all new Texas
vendors added to the FRS vendor database advising them of the State's HUB certification
process.
F. The University will host HUB forums as needed to introduce potential HUBs to
upcoming construction and/or renovation projects.
GOAL #3
Stephen F. Austin State University will seek to contract with HUBs indirectly through
subcontracting opportunities in accordance with Texas Government Code, chapter 2161,
Subchapter F and Commission HUB Rules, 1 TAC Section 111.14.
A. All procurements $100,000 or greater will require the University to prepare the bid
document including HUB Subcontracting Plan (HSP) requirements as developed by the
P14
HUB Coordinator. Potential bidders will be required to submit a HUB Subcontracting
Plan (HSP) as provided by the bid documents in order for the bid to receive
consideration.
GOAL #4
The University will establish educational training for personnel making procurement
decisions to assure compliance with stated objectives.
A. The University Purchasing Department will publish a newsletter which will, from time
to time, include HUB information.
B. The University Purchasing Department will conduct training seminars for all campus
departments advising them of all current purchasing policies and procedures.
C. ProCard training will include an emphasis on the need to make small purchases from
HUBs and will include a list of HUB vendors for the most common purchases made with
the ProCard.
D. Regular training for the use of the on-line requisition system will include an
introduction of general purchasing policies and guidelines. This introduction will include
information regarding the requirements to make a good faith effort to purchase from
HUBs.
E. The University Purchasing Department will host at least one HUB forum per year in
which HUB vendor(s) are invited to present their business to appropriate procurement
personnel from the Purchasing Office as well as end users with delegated purchasing
authority
GOAL #5
The University will gather HUB data to comply with the reporting requirements of Texas
Government Code, Title 10, Subtitle D, Chapter 2161 and 1 Texas Administrative Code
sections 111.11 through 111.28.
GOAL #6
The University will develop a program to foster long-term relationships between
leaders of mature established companies and emerging minority and women owned
companies (that are HUB certified or eligible to be HUB certified) in order for the
latter to benefit from the knowledge and experience of the established firms.
A. The University will implement a Mentor-Protege program patterned after the TBPC
program and in accordance with Government Code 2161.065.
P15
B. Participation in the Mentor-Protege program will be understood to be voluntary on
both the part of the Mentor and Protege and is neither a guarantee for contract
opportunity nor a promise of business.
Source of Authority: Vice President for Business Affairs
Cross Reference: Texas Government Code, Title 10, Subtitle D, Chapter 2161; and
Texas Administrative Code, sections 111.11 through 111.28
Contact for Revision: Director of Purchasing and Inventory/HUB Coordinator
Forms: NoBeMentor Application, Protege Application, Mentor-Protege Sample Program
Agreement; all available in the Purchasing Office
P16
Interagency and Interlocal Contracts C-18
Original Implementation: Unpublished
Last Revision: JanuaryJtz/y 25, 2002
The purchase of goods or services from another agency of the state of Texas is allowed
by the Interagency Cooperation Act, except that a state agency may not enter into an
agreement or contract that requires or permits the agency to exceed its duties and
responsibilities or the limitations of its appropriated funds. An agency may purchase
goods, equipment and special or technical services including the services of an employee
through an Interagency Cooperation Contract.
The Purchase of goods or services from or by apolitical subdivision such as a city or
county government, school district, or junior or community college in agreement with a
State Agency is handled as an Interlocal Agreement, and is allowed so long as neither the
agency nor the political subdivision exceeds its duties and responsibilities or the
limitation of its appropriated funds or its governing board or commission.
A state agency may not provide services or resources to another agency that are required
by Article XVI, Section 21, of the Texas Constitution to be provided under a contract
awarded to the lowest responsible bidder. Printing services MAY NOT be purchased
through an Interagency or Interlocal Agreement.
SFA AS THE RECEIVING AGENCY
A requisition must be submitted to initiate an inter-agency or interlocal purchase where
SFA is the receiving agency. The requisition must include the following:
a. the kind and amount of goods or services to be provided;
b. the basis for computing reimbursable costs; and
c. the maximum cost during the period of the agreement
If the cost will be $50,000 or greater a formal agreement must be completed in addition
to the requisition and including the same information above, and Board approval must be
obtained.
SFA AS THE PERFORMING AGENCY
The Purchasing Office is not involved. If the estimated cost of the goods or services is
less than $50,000 the department must document the exchange through some type of
informal letter of agreement or memoranda. If the cost is $50,000 or greater, a formal
written agreement signed by both agency heads is required, and SFA Board approval
must be obtained. An Interlocal Agreement requires a formal written agreement
regardless of the dollar amount. The written agreement must include the following.
P17
a. the kind and amount of goods or services to be provided;
b. the basis for computing reimbursable costs; and
c. the maximum cost during the period of the agreement
An agency shall reimburse another agency for the goods or services provided with an
interagency voucher payable to the providing agency or electronically as prescribed by
the Uniform Statewide Accounting System. A reimbursement received by an agency for
goods or services provided shall be credited to the appropriation items or accounts from
which the agency s expenditures for goods or services were made.
An agency shall reimburse or be reimbused by apolitical subidivison for the goods or
services provided through the issuance and payment of an invoice.
Source of Authority: Texas Government Code, Title 7, Chapter 771 and Chapter 791;
Texas Constitution, Article XVI, Section 21; President; Vice President for Business
Affairs
Cross Reference: Purchase Requisition Policy C-30; Items Requiring Board of Regents
Approval Policy D20.5
Contact for Revision: Director of Purchasing and Inventory
Forms: Purchase Requisition; Interagency Transaction Voucher (available in
Controller s Office)
P18
Investments C-41
Original Implementation: April 30, 1996
Last Revision: January 15 July 25, 2002
Policy Statement
Stephen F. Austin State University invests the public funds in its custody with primary
emphasis on the preservation and safety of the principal amount of the investment.
Secondarily, investments must be of sufficient liquidity to meet the day to day cash
requirements of the University. Finally, the University invests to maximize yield within
the two previously indicated standards. All investments within this policy conform to all
applicable State statutes and local rules governing the investment of public funds. This
policy is promulgated in accord with the Public Funds Investment Act (Government
Code, Chapter 2256), related portions of the Texas Education Code, and the applicable
portions of H. B. 2459, 74th Texas Legislature.
Scope
This policy establishes rules for the investment of all University and agency funds except
endowment funds. Endowment funds are invested in accordance with separate policy
approved by the Board of Regents and are the responsibility of fund managers selected by
the Board of Regents.
Objectives
The foremost objective of all investment decisions shall be safety of principal. All
investments must be undertaken with the fiduciary responsibility associated with that of a
reasonable and prudent person. Investments must be in accord with Texas law.
Investment maturity must be diversified to match the University's liquidity requirements.
Investments shall incur no unreasonable risk in order to maximize potential income.
Investments shall remain sufficiently liquid to meet all reasonably anticipated operating
requirements.
Investments may be diversified in order to respond to changing economic and/or market
conditions.
No investments within the portfolio or investment practices conducted to effect
investment activities shall violate the terms of this policy.
Authorized Investments
All University funds and funds held in trust for others may be invested only in the
following securities:
A) obligations of the United States of America, its agencies and
instrumentalities;
P19
B) direct obligations of the State of Texas or its agencies and
instrumentalities;
C) collateralized mortgage obligations directly issued by a federal agency or
instrumentality of the United States of America, the underlying security for which
is guaranteed by an agency or instrumentality of the United States of America;
D) other obligations, the principal of and interest on, which are
unconditionally guaranteed or insured by, or backed by the full faith and credit of,
the State of Texas or the United States of America or their agencies and
instrumentalities;
E) obligations of states, agencies, counties, cities, and other political
subdivisions of any state rated as to investment quality by a nationally recognized
investment rating firm of not less that A or its equivalent;
F) certificates of deposit issued by a state or national bank or savings and
loan association domiciled in Texas that is:
1) guaranteed or insured by the Federal Deposit Insurance Corporation;
2) fully collateralized by obligations described in Authorized Investments
section A-E listed above, including mortgage backed securities directly issued
by a federal agency or instrumentality that have a market value of not less
than the principal amount of the certificates, but excluding those mortgage
backed securities of the following nature:
a) obligations whose payment represents the coupon payments on the
outstanding principal balance of the underlying mortgaged-backed
security collateral and pays no principal;
b) obligations whose payment represents the principal stream of cash
flow from the underlying mortgage-backed security collateral and
bears no interest;
c) collateralized mortgage obligations that have a stated final maturity
date of greater than 10 years; and
d) collateralized mortgage obligations the interest rate of which is
determined by an index that adjusts opposite to the changes in a
market index.
G) fully collateralized repurchase agreements with a definite termination date,
secured by obligations described by Authorized Investments section F, requiring
the securities being purchased by the entity to be pledged to the entity, held in the
entity's name, and deposited at the time the investment is made with the entity or
with a third party selected and approved by the entity; and placed through a
primary government securities dealer, as defined by the Federal Reserve, or a
financial institution doing business in this state;
P20
H) bankers acceptances having a stated maturity of 270 days or fewer from
the date of issuance, to be liquidated in full at maturity, eligible for collateral for
borrowing from a Federal Reserve bank, and accepted by a bank organized and
existing under the laws of the United States of America or any state, if the short-term
obligations of the bank, or of a bank holding company of which the bank is
the largest subsidiary, are rated not less than A-l or P-l or an equivalent rating by
at least one nationally recognized credit rating agency;
I) commercial paper that has a stated maturity of 270 days or fewer from the
date of its issuance, and is rated not less than A-l or P-l or an equivalent rating by
at least two nationally recognized credit rating agencies or one nationally
recognized credit rating agency and is fully secured by an irrevocable letter of
credit issued by a bank organized and existing under the laws of the United States
of America or any state;
J) no-load money market mutual funds regulated by the Securities and
Exchange Commission, having a dollar-weighted average stated maturity of 90
days or fewer, and including in their investment objectives the maintenance of a
stable net asset value of $1 for each share;
K) guaranteed investment contracts conforming to Section 2256.015 of the
Government Code;
L) investment pools conforming to Section 2256.016 of the Government
Code;
M) cash management and fixed income funds sponsored by organizations exempt
from federal income taxation under Section 501(f), Internal Revenue Code of
1986 (26 U.S.C. Section 501 (f));
N) Assets and/or funds reportable within the scope of the University's annual
financial report may not be invested in or used to purchase securities, including
obligations, of a private corporation or other private business entity that owns
10% or more of a corporation or business entity which records or produces any
song, lyrics or other musical work that explicitly describes, glamorizes or
advocates:
(1) acts of criminal violence, including murder, assault, assault on police
officers, sexual assault, and robbery;
(2) necrophilia, bestiality, or pedophilia;
(3) illegal use of controlled substance;
(4) criminal street gang activity;
(5) degradation or denigration of females; or
(6) violence against a particular sex, race, ethnic group, sexual orientation, or
religion.
P21
Insurance or Collateral
All deposits and investments of University funds other than direct purchase of United
States Treasury securities or United States Agency securities and in money market funds
invested in U. S. Treasury or Agency securities shall be secured by a pledge of collateral
with a market value equal to no less than 100% of the deposits or investments less any
amount insured by the FDIC or FSLIC and pursuant to Article 2529d, the Public Funds
Collateral Act. Evidence of the pledged collateral associated with bank demand accounts
shall be maintained by the University Controller. Evidence of the pledged collateral
associated with investments shall be maintained by the Director of Financial Services.
Eligible repurchase agreements shall be documented by a specific agreement noting the
collateral pledged in each agreement. Collateral shall be reviewed monthly by the
Controller and Director of Financial Services to assure the market value of the securities
pledged equals or exceeds the related bank and certificates of deposit balances.
Pledged collateral shall be maintained for safekeeping by a third party depository.
Collateral Defined
The University shall accept only the following securities as collateral:
A) FDIC and FSLIC insurance coverage;
B) United States Treasury, Agency, or Instrumentality securities;
C) Other obligations, the principal of and interest on which are
unconditionally guaranteed or insured by the State of Texas or the United States
of America;
D) Obligations of states, agencies thereof, counties, cities, and other political
subdivisions of any state having been rated as to investment quality by a
nationally recognized investment rating firm and having received a rating of no
less than A or its equivalent.
Investment Strategy
All investments will be made in accordance with the University's Investment Policy.
Investments may be diversified as needed to provide investment suitability to the
University's financial requirements. The preservation and safety of principal is the first
priority, however, it is recognized that unrealized losses will occur in a rising interest rate
environment, just as unrealized gains will occur during periods of falling interest rates.
Investments will be of the type to provide sufficient liquidity and marketability for any
operating requirements. The investment portfolio may be diversified with authorized
securities to accommodate changing market conditions. However, United States Treasury
securities are preferable because of their low risk and high liquidity. An investment
decision shall consider yield only after the requirements for principal preservation,
liquidity, and marketability have been met.
Investments may be categorized and described as:
P22
A) Short Term - less than 90 days
Funds needed to meet short term operating requirements normally will be
invested in either the Texpool investment vehicle managed by the State Treasurer
or overnight sweep accounts established with banking institutions. The
benchmark is the average three month Treasury Bill yield.
B) Intermediate Term - 90 days to one year
United States Treasury and Agency securities, United States Agency Discount
Notes are the primary investment vehicles. United States Treasury securities are
preferable because of their low risk and the ease with which they are traded. The
benchmark is 95 percent of the average one-year Treasury Bill yield.
C) Long Term - over one year
United States Treasury and Agency securities are the primary investment
vehicles. Normally, investments are laddered so that most principal is returned
over a five year period in increments sufficient to meet anticipated operating and
capital needs. The 30 Year Treasury Bond rate is the benchmark for long term
funds.
D) Maturity
The length of time for investments within this policy will vary according to fund
type and will be dependent on funding requirements. As a general rule, funds will
be invested for the time periods indicated:
Current Unrestricted and Restricted 2 days to one year
Funds
Plant Funds 3 months to 3 years
Delegation of Authority
The Vice President for Business Affairs (VPBA) of Stephen F. Austin State University is
responsible for investment management decisions and activities. The VPBA delegates the
day-to-day management of the investment activities to the Director of Financial Services.
The VPBA shall be ultimately responsible for all transactions undertaken and shall
establish a system of controls (Appendix A) to regulate the activities of officials and staff
involved in investment transactions.
The VPBA shall develop and maintain written administrative procedures and guidelines
for the operation of the investment program which are consistent with and part of this
Investment Policy (Appendix B).
The VPBA shall be designated as the University's investment officer and is responsible
for the duties outlined herein. The name and title of the investment officer shall be filed
with the Board of Regents. Changes of name and/or title must be filed with the Board of
P23
Regents as they occur.
The maximum stated maturity date of any security may not exceed ten years, and the
weighted average duration of the portfolio shall not exceed five years without approval
by the VPBA and ratification by the Board of Regents. Decisions requiring security
purchases with stated maturity in excess of five (5) yoars will require approval of the
VPBA and ratification by the Board of Regonts.-
No officer or designee may engage in an investment transaction except as provided under
terms of this policy as approved by the Stephen F. Austin State University Board of
Regents.
Prudence
The "prudent person" standard will be used in the investment function and shall be
applied in the context of individual transactions as well as management of the overall
portfolio.
Accordingly, all investments shall be made with judgment and care, under circumstances
then prevailing, which persons of prudence, discretion, and intelligence exercise in the
management of their own affairs, not for speculation, but for investment, considering the
probable safety of their capital as well as the expected income to be derived.
Internal Controls
Stephen F. Austin State University has established a system of written internal controls
designed to prevent loss of public funds due to fraud, employee error, misrepresentation
by third parties, unanticipated market changes, or imprudent actions by employees of the
University. These controls are shown in Appendix A of this Investment Policy. These
controls are subject to the review of and recommendations from the University's
Department of Audit Services office.
Investment Authority
The VPBA shall invest only those funds regulated by this policy and shall purchase only
those securities authorized by the Authorized Investments section of this policy.
Authorized Financial Dealers and Institutions
Investment transactions (bids and offers) will occur only between the University and
Board authorized broker/dealers.
A written copy of the investment policy shall be presented to any person offering to
engage in an investment transaction with Stephen F. Austin State University. The
qualified representative of the business organization offering to engage in an investment
transaction with Stephen F. Austin State University shall execute a written instrument
substantially to the effect that the business organization has (a) received and reviewed the
investment policy of the University and (b) acknowledges that the business organization
has implemented reasonable procedures and controls in an effort to preclude investment
transactions conducted between the University and the organization that are not
P24
authorized by Stephen F. Austin State University's investment policy.
Securities may not be bought from any organization whose representative has not
provided the University with the acknowledgment required in the above paragraph.
Diversification
Investments may be diversified to minimize the risk of loss resulting from unauthorized
concentration of assets in a specific maturity, specific issuer, or specific class of
securities. The diversification limits by security type and issuer shall be:
Category Maximum
U. S. Treasury securities and securities having 100%
principal and interest guaranteed by the U. S.
Government
U. S. Government agencies, instrumentalities and 50%
government sponsored enterprises (excluding
mortgage backed securities)
Collateral mortgage backed securities 25% 0
Fully insured or collateralized certificates of 100%
deposit
Bankers' acceptances 25%
Commercial paper 25%
Repurchase agreements 100%
Registered money market funds 80%
Local Government Investment Pool 100%
The VPBA and his or her designee may diversify investment maturity. To the extent
possible, investment maturity will be matched with anticipated cash flow requirements.
Matching maturity and cash flow requirements will minimize occasions for sale of
securities prior to maturity, thereby reducing market risk. However, no provision of this
policy shall be interpreted as prohibiting the sale of any security prior to maturity,
provided that it is in the University's financial interest to effect the sale.
The weighted average maturity of the entire portfolio shall be maintained at no more than
10 years and shall be reported quarterly to the Board of Regents. Pooled fund groups
eligible for University investment shall have a maximum weighted average maturity of
10 years.
Safekeeping and Collateralization
All securities transactions, including collateral for repurchase agreements, but excluding
P25
mutual funds and investment pools, must be settled on a delivery versus payment basis.
Collateral for certificates of deposit shall be held by a third party custodian in the name of
the University. The third party custodian shall be required to issue a safekeeping receipt
to the University listing the specific instrument, rate, maturity, safekeeping receipt
number, and other pertinent information. Any collateral safekeeping receipt shall be
clearly marked on its face that the security is "pledged to Stephen F. Austin State
University".
Collateralization shall be required on certificates of deposit and repurchase agreements.
The collateralization level shall be no less than 100% of the market value of the principal
and interest due on these instruments.
Collateral for certificates of deposit and repurchase agreements shall consist of any of the
securities authorized for investment within this policy.
Performance Evaluation
The VPBA shall submit quarterly reports to the Board of Regents through its Finance
Committee and the President of the University in the format prescribed by the Public
Funds Investment Act, within a reasonable time after the end of the quarter.
The reports must:
(A) describe in detail the investment position of the University on the date of
the report;
(B) be prepared by the investment officer(s) of the University;
(C) be signed by the investment officer(s) of the University;
(D) contain a summary statement prepared in compliance with generally
accepted accounting principles of each pooled fund group that states the:
(1) beginning market value for the reporting period;
(2) additions and changes to the market value during the period;
(3) ending market value for the period; and
(4) fully accrued interest for the reporting period;
(E) state the book value and market value of each separately invested asset at
the beginning and end of the reporting period by the type of asset and fund type
invested;
(F) state the maturity date of each separately invested asset that has a maturity
date;
(G) state the account or fund or pooled group fund for which each individual
investment was acquired; and
P26
(H) state the compliance of the investment portfolio of the University as it
relates to the relevant provisions of the Public Funds Investment Act.
Training
The VPBA and Director of Financial Services are required by Section 2256.007(a) of the
Government Code to attend at least one session of investment training not later than
March 1, 1996, and, as appropriate, periodically thereafter.
The University's Department of Audit Services office shall conduct annual compliance
audits of management controls on investments and adherence to the University's
investment policy and report the results to the President and VPBA and the State
Auditor's Office. In addition, the Department of Audit Services shall annually review the
quarterly investment reports, and report the result of the review to the governing body.
Investment Policy Adoption and Certification
Upon adoption by the Stephen F. Austin State University Board of Regents, the
University s investment policy shall be reviewed annually to ensure current applicability
and significant modifications thereto submitted to the Board of Regents for approval.
Source of Authority: Board of Regents, Stephen F. Austin State University
Cross Reference: None
Contact for Revision: Vice President for Business Affairs
Forms: None
P27
APPENDIX A
INTERNAL CONTROLS
The University has prepared an Investment Policy as of April 12, 1996. The policy was
approved by the Board of Regents April 30, 1996.
The Investment Policy will be reviewed and/or updated no less than annually.
All pledged securities shall be held by a third party custodian in the name of the
University. A safekeeping receipt will be issued to the University listing the specific
instrument, rate , maturity, safekeeping receipt number, and other relevant information.
The signature of the President, VPBA, or Director of Financial Services is required for
release of pledged securities from safekeeping unless the securities being released are
replaced by securities with the same market value. Only changes in the level of
collateralization require approval by the above.
The Controller's Office will reconcile the appropriate investment accounts to broker's
statements and other supporting documents monthly.
All purchases of securities from and deposits of funds to or withdrawals of funds from
Texpool require the signature of the VPBA, and either the Director of Financial Services
or the Controller.
P28
APPENDIX B
ADMINISTRATIVE PROCEDURES
The Bursar's Office will maintain a daily list of cash balances held in depository bank
accounts.
All investment transactions and related cash transfer requests, except for investment
"rollovers" as defined, will be prepared by the Director of Financial Services and will
require an appropriate second signature.
"Rollovers" are investment transactions whereby an investment of certain type held by an
entity matures and the proceeds are then used to purchase an investment of the same type
within the same account within the same entity.
The Controller's Office will record investments in compliance with GASB and State
Comptroller's reporting requirements and reconcile the appropriate investment accounts
to broker s statements and other supporting documents monthly.
Quarterly investment reports are prepared by the Director of Financial Services and
approved by the Vice President of Business Affairs in accordance with the Performance
Evaluation section of this investment policy.
The market price of securities will be monitored quarterly using industry published data
or appropriate financial publications.
P29
Travel C-49
Original Implementation: October 31, 2000
Last Revision: October 23, 2001 July 25, 2002
Applicability
Unless otherwise stated, T/his policy applies to employees and prospective employees
traveling in a University capacity except members of the Board of Regents and the
President, who are exempt, and intercollegiate athletics. All policies, rules, and
regulations related to travel on behalf of, or in connection with, intercollegiate athletics
are included in the current issue of the Intercollegiate Athletics Policy Manual.
The travel regulations contained in this policy apply to all University funds. The
reimbursement limits established by this policy may be exceeded only if funds are
available in, and the additional costs are charged to, a discretionary account controlled by
the budget manager authorizing the additional expenditure. For this policy, discretionary
funds shall be defined as specified accounts established for the sole purpose of
discretionary use.
General Travel Regulations
Generally, the State of Texas Travel Allowance Guide is the authoritative document
regarding travel rules and regulations. The Guide is located in the Controller s Office
and at http://www.sfasu.edu/controller/travindex.html. In case of conflict between the
Guide and this policy, this policy takes precedence.
Employees, and others traveling on behalf of the University, are not reimbursed on a flat
per diem basis. Instead, they are reimbursed for actual meal and lodging expenses,
subject to the provisions of this policy.
The applicable account manager may limit or prohibit reimbursement of any travel
expenditure provided the traveler is notified in advance.
Travel Request
Except as stated in the Applicability section of this policy, anyone traveling on University
business must obtain permission in advance of the trip. A Travel Request form (available
from University Printing Services and at http://www.sfasu.edu/controller/travindex.htmn
must be submitted and approved at all applicable levels, as indicated on the form,
whether or not expenses will be incurred. All expenses to be paid or reimbursed by the
University are to be reflected on the Travel Request, regardless of whether they are to be
prepaid. A Travel Request is not required for prospective employees.
The Controller s Office uses the Travel Request to encumber funds against the
appropriate account(s). The Travel Request will be approved by the Controller s Office
only when account balances are sufficient to cover the total estimated cost of the trip.
P30
Travel to Washington, D.C
Before traveling to Washington, D. C, an employee shall inform the Texas Office of
State-Federal Relations about the timing and purpose of the trip, and provide the office
with the name of a person who may be contacted for additional information about the
trip. A completed form, Report for State Agency Travel to Washington, D. C. (available
at http://www.sfasu.edu/controller/travindex.htmn. will meet this requirement.
Foreign Travel
Official University business travel to any foreign country other than Canada or Mexico
requires advance written approval from the Chair of the Board of Regents. The traveler
must submit a Travel Request through the appropriate administrative channels to the
President, who will forward the request to the Board Chair. To be considered for
approval, foreign travel must be directly related to the University s mission and must
require a duty that cannot be performed without the travel.
A completed Travel Request form (available from University Printing Services and at
http://www.sfasu.edu/controller/travindex.html) must be routed through the appropriate
administrative channels in sufficient time to be approved by the Board Chair prior to the
date of departure.
Charge Card for Travel Expenses
A Bank of America individual corporate charge card is available for eligible employees
who wish to charge travel expenses. In order to apply, the employee must take, or expect
to take, three (3) or more business trips per fiscal year, or expend at least $500 per fiscal
year for official State business. An employee is not required to accept a State-issued
charge card.
The State-issued Bank of America individual corporate charge card is to be used for
business-related charges only while traveling on official State business. Use of the card
for personal business is considered a violation of State policy and the employee may be
subject to disciplinary action. The individual whose name appears on the card is solely
responsible for payment of the account. If the card is suspended or cancelled for misuse
or nonpayment, the employee will be ineligible for travel advances from the University.
If the application is approved by Bank of America, the employee agrees to be bound by
the Corporate Card and Commercial Card Cardmember Agreement which will be sent
with each card. Additionally, the employee agrees to be bound by the State policies
governing the use of the Card. Applications and further information concerning this
program are available in the Controller s Office or at
http://www.sfasu.edu/controller/travindex.html. The application must be signed by the
employee, the employee s supervisor, and the travel manager in the Controller s Office.
Advance Travel Funds
Advance travel funds are available for employees who wish to obtain money in advance
of the trip. These funds may be requested on the Travel Request form (available from
University Printing Services and at http://www.sfasu.edu/controHer/travindex.html) for:
P31
(1) employees ineligible for the Bank of America individual corporate charge card, (2)
group travel, (3) airline and hotel reservations that must be paid well in advance of the
travel date, or (4) travel with particularly unusual circumstances (reason must be
specified on the Travel Request form). The minimum amount of advance funds that can
be obtained is $100.
The Travel Request should be received by the Controller s Office at least five (5)
working days prior to departure. Generally, the requested funds will be available at the
University Business Office at least one working day prior to departure. Advance travel
funds will be issued by a check made payable to the individual requesting the funds. As a
condition of receiving advance travel funds, the employee agrees to refund any excess
(amount advanced less documented eligible expenditures on the Travel Voucher) within
30 days from the ending date of the trip.
An advance travel check will only be issued prior to the trip. No advancement is
authorized if the trip has already occurred. The traveler should submit a Travel Voucher
for reimbursement subsequent to the trip.
Travel Voucher (Travel Expense Documentation and Reimbursement)
In order to receive reimbursement, travel expenditures must be documented on a Travel
Voucher (available from University Printing Services and at
http://www.sfasu.edu/controller/travindex.html) signed by the traveler and the account
manager. The Travel Voucher must reflect the total actual reimbursable expenses of the
trip, regardless of whether advance travel funds were received. Receipts are required
for most travel expenses (see applicable section of this policy for specific details),
except meals. In the case of meal expenses for group travel, the sponsor/advisor
must provide documentation of how the funds were expended. The sponsor/advisor
should contact the travel manager in the Controller s Office in advance of the trip for
instructions.
The Travel Voucher should be submitted, with receipts attached, to the Controller s
Office within 30 days from the ending date of the trip. No reimbursements will be
made and all encumbrances will be cancelled 30 days after the end of the fiscal year.
The State of Texas Travel Allowance Guide can be useful in the completion of Travel
Vouchers. It provides comprehensive information on travel procedures and the proper
classification of travel related expenditures. A current copy of the Guide is available in
the Controller's Office or athttp://www.sfasu.edu/controller/travindex.html.
Foreign Currency Conversion
All amounts listed on the Travel Voucher must be converted to U.S. dollars using the rate
applicable on the date of the expenditure. A foreign currency conversion table is
available at http://www.sfasu.edu/controller/travindex.html. Documentation of the
conversion calculation must be attached to the Travel Voucher.
P32
Reimbursement Rates — Lodging
Reimbursement may not exceed the amount of lodging expenses actually incurred at a
commercial lodging establishment, subject to maximum allowances stated below. The
original itemized lodging receipt, attached to the Travel Voucher, is required.
The State Travel Management Program of the General Services Commission has
contracted with several commercial lodging establishments for special rates. The
contracted vendors and rates are listed in the Texas State Travel Directory, which is
distributed to each department. Employees are encouraged to utilize the contracted
vendors when possible.
In-State
Travelers may be reimbursed for the actual cost of lodging, not to exceed eighty dollars
($80) per day. Additionally, they may be reimbursed for local taxes on the allowable
lodging cost. State tax on in-state lodging will not be reimbursed to State employees.
Instead, State employees must submit a completed Texas Hotel Occupancy Tax
Exemption Certificate (available from University Printing Services and at
http://www.sfasu.edu/controller/travindex.htmD to commercial lodging establishments at
check-in. Employees should also be prepared to show proof of State employment.
Out-of-State
The maximum reimbursement rates for out-of-state lodging are provided by the Texas
State Comptroller. A list of the rates, which is updated from time to time, is available at
http://www.sfasu.edu/controller/travindex.html. Within the continental United States,
lodging reimbursement is limited to the locality-based allowance as stated on the list. For
cities and counties not included on the list, the allowance is the median rate established in
that state for lodging. Applicable taxes on the allowable lodging costs may also be
reimbursed. Travelers to Alaska, Hawaii, or a foreign country may be reimbursed for
actual, reasonable costs.
If the actual cost of lodging exceeds a locality's lodging allowance, an employee may
reduce the maximum meal reimbursement rate for that locality and use the reduction to
increase the lodging reimbursement rate for that locality. No such adjustment can be
made to increase the maximum meal reimbursement rate.
Shared Lodging
When two or more employees share lodging, each employee must pay and claim their
prorated share of the cost. The University will reimburse each employee his share of the
lodging expense, not to exceed the applicable maximum lodging reimbursement rate. A
list of names of those sharing the same room should be attached to each Travel Voucher.
P33
If only one of the individuals sharing lodging is an employee, then the amount that the
employee may be reimbursed for lodging expenses is the lesser of the single occupancy
room rate or the maximum lodging reimbursement rate.
Reimbursement Rates — Meals
This section of the Travel policy is inapplicable to Road Bus Drivers. Normally, Road
Bus Drivers are not reimbursed for meals. Any reimbursement of meal expenditures by
Road Bus Drivers is subject to the discretion and approval of the Director of the Physical
Plant.
Employees may be reimbursed for meal expenditures while away from campus if the
travel requires them to be at least 25 miles from the University for at least six (6)
consecutive hours during the calendar day. Meals are reimbursed at the lower of actual
cost or the following meal allowances:
IN-STATE *OUT-OF-STATE
Breakfast $ 5 16.7% of locality-based allowance
Lunch $ 10 33.3% of locality-based allowance
Dinner $ 15 50% of locality-based allowance
Total $30
• Within the continental United States, meal reimbursement is limited to the locality-based
allowance (list available at http://www.sfasu.edu/controller/travindex.html)
provided by the Texas State Comptroller. For cities and counties not included on the list,
the allowance is the median rate established in that state for meals. Travelers to Alaska,
Hawaii, or a foreign country may be reimbursed for actual, reasonable costs.
The following timetable indicates which meals are reimbursable:
Breakfast Travel includes 8:00 a.m. or before
Lunch Travel includes 11:30 a.m. — 1:30 p.m.
Dinner Travel includes 6:00 p.m. and after
Actual meal expenses without overnight stay are reimbursable, not to exceed the in-state
rates listed above, regardless of the travel location. Internal Revenue Service rules
(Publication 463) state you cannot deduct the cost of meals if it is not necessary for you
to stop for sleep or rest to properly perform your duties. Therefore, all reimbursement
for meals without overnight stay is taxable to the employee. The reimbursement will
be paid monthly in the employee s regular payroll check, and taxes will be withheld.
Additional guidelines for meal reimbursement:
• Some registration fees include meals. In this case, the registration fee is fully
reimbursable but no additional amount can be claimed for the included meals.
• Meals purchased for the traveler by another person are not reimbursable.
• In the case of employees traveling together, each must pay and claim their own
expenses.
P34
• Tips, gratuities, and alcoholic beverages are not reimbursable.
• Meal receipts are not required. In the case of meal expenses for group travel, the
sponsor/advisor must provide documentation of how the funds were expended. The
sponsor/advisor should contact the travel manager in the Controller s Office in
advance of the trip for instructions.
Reimbursement Rates - Mileage
The number of reimbursable miles traveled by an employee may not exceed the number
of miles of the most cost-effective route. The shortest route between points, including the
use of all farm-to-market roads, is presumed to be the most cost-effective route. The
Texas Comptroller of Public Accounts Mileage Guide (available at
http://www.sfasu.edu/controller/travindex.html) calculates the mileage between two
locations. When both locations are in the Mileage Guide database, the employee may be
reimbursed for either the number of miles (1) calculated by the Mileage Guide or (2)
calculated from the employee s odometer. When one or both locations are not in the
Mileage Guide database, the number of reimbursable miles is calculated from the
employee s odometer. Mileage determined by use of the employee s odometer must be
itemized on a point-to-point basis on the Travel Voucher. Any vicinity mileage at the
destination location must also be itemized separately on a point-to-point basis. For the
purposes of this paragraph, point means a building, house, highway intersection, or
other similarly-localized spot.
The reimbursement rate for use of an employee's personal vehicle is established by the
State legislature. That rate is specified in the State of Texas Travel Allowance Guide
(available in the Controller's Office or athttp://www.sfasu.edu/controller/travindex.htmn
or as updated by the Texas State Comptroller.
Four-Per-Car-Rule
Coordination of travel must occur when two, three, or four employees travel on the same
dates with the same itinerary to conduct the same official State business. When
coordination of travel is required, only one employee may be reimbursed for mileage.
Reimbursement Rates - When Representing the University President
If the President is unable to attend a meeting or conference, the President may designate,
on an individual trip basis, one employee as a representative to travel. Under this
provision, the employee is reimbursed for actual expenses, not to exceed twice the
maximum allowance rates for lodging and meals specified by this policy. The Travel
Voucher must be accompanied by the original designating document from the President.
Receipts are required as specified in this policy.
Registration Fees
The registration fee for attendance at a professional meeting is reimbursable if the fee
was approved on the Travel Request. The fee must be shown as a miscellaneous expense
on the Travel Voucher, with the original receipt attached.
P35
Attendance at in-town conferences does not require a Travel Request. Employees may be
reimbursed for in-town registration fees by submitting a completed Travel Voucher, as
they would for any other travel reimbursement. The description should indicate that the
conference was in Nacogdoches.
Some registration fees include meals. In this case, the registration fee is fully
reimbursable but no additiona